Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachel? Claim Your ProfileRachel Tori Cain is a registered representative of UBS Financial Services Inc. Rachel has been in the financial services industry for over 24 years and has a wide range of experience. Rachel holds both Series 7 and Series 63 licenses, as well as the Series 65 license. Rachel is registered in multiple states including California, New Jersey, New York, Pennsylvania and Texas. Rachel has experience working with a variety of clients, including individuals, families, businesses, and institutions. Rachel's specializations include retirement planning, college savings, estate planning, and investment management. In addition to her experience with UBS Financial Services Inc., Rachel also has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Sanford C. Bernstein & Co., Inc.. Rachel is committed to providing her clients with personalized financial advice and guidance.
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
09/15/2022 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
08/09/2000 - 09/19/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
NY
05/14/1996 - 09/11/1998
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
IA
Issued 11/02/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/1996
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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