Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachael? Claim Your ProfileRachael Maier is a financial advisor at UBS Financial Services Inc., with over five years of experience in the financial industry. Rachael is registered with the state of California, Nevada and New Jersey, and holds a Series 66, Series 7TO, Series 9, Series 10 and SIE licenses. She specializes in various areas, including securities, investments, financial planning, and portfolio management for individuals and businesses. Rachael is also actively involved in community outreach and is passionate about helping her clients achieve their financial goals.
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
10/22/2019 - Present
UBS Financial Services Inc. (El Segundo CA)
BOTH
Issued 10/21/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/07/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/16/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/30/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/23/2019
SIE - Securities Industry Essentials 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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