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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peggy? Claim Your ProfilePeggy Peters is a registered investment advisor representative with UBS Financial Services Inc. Peggy has been in the industry since 1975 and has worked with UBS Financial Services Inc. since 1982. Peggy specializes in investment advisory services for individuals, businesses, investment companies, pension plans, and charitable organizations. She is registered in 37 states and the District of Columbia. Peggy is also a registered investment adviser in Texas.
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
VA
08/28/1991 - Present
UBS Financial Services Inc. (McLean VA)
NA
09/16/1977 - 04/02/1982
BACHE HALSEY STUART SHIELDS INCORPORATED
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
09/25/1975 - 02/27/1976
BACHE & CO., INCORPORATED
IA
Issued 07/16/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/1988
PC - AMEX Put and Call Exam
BC
Issued 09/20/1975
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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