Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond G. Farnesi is a financial advisor registered with UBS Financial Services Inc. with over 2 years of experience in the industry. Raymond is a licensed investment advisor representative in Pennsylvania. Raymond is also a registered representative in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Raymond's previous firm was Goldman Sachs & Co. LLC, where they were registered as a broker-dealer and investment advisor. Raymond has passed the Series 63, Series 65, Series 7TO, and the SIE exam. Raymond offers financial planning, security ratings, pension consulting, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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
PA
10/16/2021 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
PA
07/24/2020 - 01/21/2021
GOLDMAN SACHS & CO. LLC (PHILADELPHIA PA)
IA
Issued 10/15/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2020
Series 7TO - General Securities Representative Examination
BC
Issued 07/02/2020
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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