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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond L. Chase is a financial advisor with over 30 years of experience in the industry. Raymond L. Chase is currently registered with UBS Financial Services Inc., and has held previous roles with firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Inc. and Lehman Brothers Inc.. Raymond L. Chase is licensed to provide financial advice in various states, including Florida, Maryland, New Jersey and Texas, and is registered with FINRA. Raymond L. Chase has also passed several industry examinations, including the Series 7, Series 10, Series 9, and Series 63 exams, demonstrating a commitment to professional development. Raymond L. Chase specializes in working with individuals, high-net-worth individuals, corporations or other businesses, and pension and profit-sharing plans.
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
04/27/2012 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
02/20/1996 - 05/01/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHESTER NJ)
NY
07/31/1993 - 02/29/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
07/21/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/16/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1987
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1987
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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