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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 John Auletta is an investment advisor representative with UBS Financial Services Inc. located in Syracuse, NY. Paul has over 30 years of experience in the financial services industry and has been associated with UBS since 2005. Prior to joining UBS, Paul was employed by MORGAN STANLEY DW INC., A. G. EDWARDS & SONS, INC., INTERSTATE/JOHNSON LANE CORPORATION, and TUCKER ANTHONY INCORPORATED. Paul holds Series 7, Series 63, and Series 65 licenses and has passed the SIE Exam. Paul specializes in providing financial planning, portfolio management, and pension consulting services.
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
NY
01/07/2005 - Present
UBS Financial Services Inc. (SYRACUSE NY)
NY
12/12/2000 - 01/10/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
10/14/1994 - 12/14/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NC
09/27/1993 - 09/26/1994
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
MA
11/29/1988 - 10/01/1993
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
08/25/1988 - 11/05/1988
THOMAS JAMES ASSOCIATES, INC.
IA
Issued 03/01/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/06/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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