Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paula? Claim Your ProfilePaula Rose is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Paula is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), as well as in 34 states and the District of Columbia. Paula is committed to providing clients with personalized financial advice and strategies to help them reach their financial goals. Paula has experience working with a range of clients, including individuals, families, and businesses.
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
CT
01/06/2022 - Present
UBS Financial Services Inc. (HARTFORD CT)
NY
09/18/1992 - 10/16/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MA
10/09/1990 - 09/17/1992
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BC
Issued 03/15/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/1990
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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