Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter John Goglia is a financial advisor with UBS Financial Services INC. Peter John Goglia has been in the financial services industry since January 1984 and has a Series 63, Series 65, Series 7 and SIE. Peter John Goglia is registered in 20 states including Rhode Island, Texas, California, Colorado, Connecticut, Florida, Maine, Massachusetts, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee. Peter John Goglia specializes in providing financial advice to individuals, businesses, and institutions. Peter John Goglia also provides portfolio management, financial planning, and educational seminars. Previously Peter John Goglia worked at KIDDER, PEABODY & CO. INCORPORATED in NEW YORK, NY from January 1984 to January 1995.
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
RI
04/07/2003 - Present
UBS Financial Services Inc. (PROVIDENCE RI)
NY
01/25/1984 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 4/3/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/9/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/21/1984
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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