Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rory? Claim Your ProfileRory Banks is a financial advisor with UBS Financial Services Inc. Rory has been working in the financial industry since 2013. Rory holds the Series 7, 63, 55, 66, and SIE licenses and is registered in 27 states. Prior to joining UBS Financial Services Inc. Rory worked at J.P. Morgan Securities LLC in New York, NY. Rory is dedicated to providing personalized financial advice to individuals, families, and businesses.
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
07/19/2021 - Present
UBS Financial Services Inc. (MT. LAUREL NJ)
NY
06/08/2012 - 07/19/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
BOTH
Issued 07/27/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/22/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/07/2012
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
Not sure Rory Banks is the right advisor for you? Invested Better is here to help.
