Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rebecca? Claim Your ProfileRebecca Kwalik is a financial advisor who has been in the industry since November 2007. Rebecca is currently registered with Goldman Sachs & Co. LLC. Rebecca has a wide range of experience in the financial services industry, having previously worked at UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and Donaldson, Lufkin & Jenrette Securities Corporation. Rebecca holds the Series 3, Series 7TO, SIE, and Series 7 licenses. Rebecca is registered in 53 states and is a member of FINRA.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
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2
NY
12/03/2019 - Present
Goldman Sachs & Co. LLC (COHOES NY)
NY
01/08/2007 - 02/26/2014
GOLDMAN, SACHS & CO. (NEW YORK NY)
MA
05/30/2008 - 06/20/2008
UBS FINANCIAL SERVICES INC. (BOSTON MA)
NY
01/17/2003 - 11/08/2006
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NJ
12/20/2001 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 01/06/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/18/2021
Series 3 - National Commodity Futures Examination
BC
Issued 12/03/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/30/2019
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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