Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosalind? Claim Your ProfileRosalind Graham is a financial advisor with UBS Financial Services Inc. Rosalind has been in the industry since 2007 and is registered with the state of New Jersey. Rosalind has passed both the Series 7 and the SIE exam. Rosalind is also registered as an Investment Advisor Representative with UBS Financial Services Inc. Rosalind has worked with Morgan Stanley Smith Barney and Morgan Stanley & Co. Incorporated prior to joining UBS Financial Services Inc. Rosalind specializes in Retirement Planning, College Savings Plans, Mutual Funds, Annuities, and Stocks.
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
12/01/2010 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NY
06/01/2009 - 12/08/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
05/25/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2007
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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