Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rita? Claim Your ProfileRita Karl is an investment advisor representative with UBS Financial Services Inc. Rita has been in the financial services industry since 2010. Rita is registered to offer securities in 24 states and is also registered as an Investment Advisor Representative in Delaware and Texas. Rita has passed the Series 66, Series 7 and SIE exams. Rita has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley and Raymond James Financial Services, Inc..
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
TX
06/30/2023 - Present
UBS Financial Services Inc. (DALLAS TX)
TX
01/09/2017 - 07/03/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
08/19/2010 - 01/17/2017
MORGAN STANLEY (DALLAS TX)
TX
06/07/2010 - 07/15/2010
RAYMOND JAMES FINANCIAL SERVICES, INC. (DALLAS TX)
BOTH
Issued 06/25/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2010
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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