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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rory? Claim Your ProfileRory Lindquist is a financial advisor with UBS Financial Services Inc. Rory has over 24 years of experience in the financial industry. Rory has a Series 6, 7, 31, and 63 license, and also holds the Series 65 and SIE exams. Rory is a Certified Financial Planner. Rory has experience working with a number of firms including Morgan Stanley, Merrill Lynch, Robert W. Baird & Co., and Strong Investments. Rory specializes in providing financial advice to individuals, businesses, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and corporations. Rory's past employment history also includes time spent at Morgan Stanley Smith Barney and Morgan Stanley Private Bank. Rory currently holds registrations in Colorado and Texas.
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
CO
06/07/2024 - Present
UBS Financial Services Inc. (BOULDER CO)
CO
05/16/2011 - 06/13/2024
MORGAN STANLEY (Boulder CO)
CO
09/03/2004 - 05/18/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOULDER CO)
WI
05/13/2002 - 09/15/2004
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
08/17/1999 - 05/10/2002
STRONG INVESTMENTS, INC. (MENOMONEE FALLS WI)
IA
Issued 09/25/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/13/1999
Series 6 - Investment Company Products/Variable Contracts 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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