Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paula? Claim Your ProfilePaula Roberts is a financial advisor with over 20 years of experience in the industry. Paula has a comprehensive understanding of investment strategies and is dedicated to providing personalized financial guidance to help clients achieve their financial goals. Paula is currently registered with UBS Financial Services Inc. and has previously worked with Ameriprise Financial Services, Inc., Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc. Paula is also licensed to provide investment advice in a number of states. Paula holds several industry licenses and designations, including Series 7, Series 9, Series 10 and Series 66.
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
OR
06/12/2024 - Present
UBS Financial Services Inc. (LAKE OSWEGO OR)
OR
10/31/2016 - 06/25/2018
AMERIPRISE FINANCIAL SERVICES, INC. (LAKE OSWEGO OR)
OR
01/10/2013 - 10/28/2016
MORGAN STANLEY (LAKE OSWEGO OR)
AZ
01/30/2007 - 12/06/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MESA AZ)
AZ
04/21/2004 - 02/01/2007
CITIGROUP GLOBAL MARKETS INC. (TEMPE AZ)
CA
09/12/2003 - 04/12/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BOTH
Issued 11/25/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/19/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/27/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2003
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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