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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Alan Goffin is a financial advisor with UBS Financial Services Inc. based in Portland, ME. Peter has been in the financial services industry since 1981. Peter is a registered representative with FINRA and has a Series 3, Series 7, and Series 63 license. Peter also holds a Series 65 license as an Investment Advisor Representative. In addition to his FINRA registrations, Peter is registered as a broker-dealer in Maine. Prior to joining UBS Financial Services Inc., Peter was with Kidder, Peabody & Co. Incorporated in New York, NY. Peter specializes in portfolio management for individuals, businesses, pension consulting, financial planning, and educational seminars.
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
ME
01/28/1995 - Present
UBS Financial Services Inc. (PORTLAND ME)
NY
05/18/1981 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 02/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1982
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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