Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Racquel? Claim Your ProfileRacquel B. Brown is an active investment advisor representative in Georgia. Racquel Brown is registered with UBS Financial Services Inc. Racquel Brown has been in the industry since August 1, 2007. Racquel Brown's profile shows that they are affiliated with the following firm: UBS Financial Services Inc., and has been employed with this firm since May 2008. Racquel Brown holds the following licenses: Series 66, Series 9, Series 10, Series 7, and SIE. Racquel Brown has 10 approved registrations, including 1 approved FINRA registration, and 1 approved state registration.
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
NJ
07/10/2012 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
BOTH
Issued 07/07/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/14/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/29/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2007
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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