Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip D. Topacio is a financial advisor with UBS Financial Services Inc. Philip has been a registered representative for over 18 years. Philip is a licensed investment advisor with the state of California and holds numerous licenses, including Series 3, 7, 9, 10, 66, and SIE, as well as the Series 99TO. Philip has previous experience with both Wells Fargo Advisors and Morgan Stanley Smith Barney. Philip's practice serves a wide variety of clients, including individuals, high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and insurance companies.
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
CA
01/11/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
09/27/2012 - 01/04/2016
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
06/02/2010 - 10/05/2012
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
05/28/2004 - 05/20/2010
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
BOTH
Issued 10/22/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/31/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/8/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/6/2016
Series 3 - National Commodity Futures Examination
BC
Issued 2/23/2004
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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