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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Adrian Kromhout is a financial advisor currently associated with UBS Financial Services Inc., based in San Francisco, CA. Paul Adrian Kromhout has been active in the industry since 1985, starting at Kidder, Peabody & Co. Incorporated. Paul Adrian Kromhout has been with UBS Financial Services Inc. since 2011. Paul Adrian Kromhout holds the following licenses and certifications: Series 3, Series 63, Series 7, Series 8, Series 9, Series 10, and SIE. Paul Adrian Kromhout is also a Certified Financial Planner.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
03/12/2014 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/11/2011 - 03/24/2011
STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)
CA
11/30/2007 - 02/14/2011
NOLLENBERGER CAPITAL PARTNERS INC. (SAN FRANCISCO CA)
CA
07/09/1990 - 12/05/2007
A. G. EDWARDS & SONS, INC. (SAN FRANCISCO CA)
NY
03/19/1985 - 07/13/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 04/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/02/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1997
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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