Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rose? Claim Your ProfileRose Mary Faranal is a financial advisor with UBS Financial Services Inc. Rose Mary has been in the financial industry since 1993. Rose Mary has a Series 63, Series 7, and SIE license. Rose Mary has been registered with UBS Financial Services Inc. since 2015. Before joining UBS Financial Services Inc. Rose Mary was with J.P. MORGAN SECURITIES LLC. Rose Mary is registered in 18 states. Rose Mary specializes in 1, 2, 3, 4, 5, 6, and 9.
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
CA
06/05/2015 - Present
UBS Financial Services Inc. (Los Angeles CA)
CA
07/13/1995 - 06/26/2015
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CO
07/01/1994 - 06/21/1995
SCHNEIDER SECURITIES, INC. (DENVER CO)
CO
07/20/1993 - 07/08/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 07/21/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1993
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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