Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Regina? Claim Your ProfileRegina Connelly is a financial advisor with over 30 years of experience in the industry. Regina is currently registered with Purshe Kaplan Sterling Investments in Melville, New York. Prior to joining Purshe Kaplan Sterling Investments, Regina was with UBS Financial Services Inc. for nearly 28 years. Regina holds a variety of licenses and certifications, including the Series 7, Series 8, Series 9, Series 10, and Series 63 exams.
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.
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.
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NY
10/14/2019 - Present
Purshe Kaplan Sterling Investments (Melville NY)
NY
12/19/1991 - 06/18/2019
UBS FINANCIAL SERVICES INC. (MELVILLE NY)
BC
Issued 11/01/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/12/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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