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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roxanne? Claim Your ProfileRoxanne Lenfert is a financial advisor who has been working in the industry for over 22 years. Roxanne is currently registered with UBS Financial Services Inc. and has been with the firm since 2008. Roxanne has a long history of experience with various firms such as Wachovia Securities Financial Network, LLC, Morgan Stanley DW Inc., and J.J.B. Hilliard, W.L. Lyons, Inc. Roxanne holds several licenses including Series 63, Series 65, Series 7, Series 31, Series 9 and Series 10, as well as the SIE exam. Roxanne specializes in providing financial advice to a wide range of clients including individuals, corporations, high-net-worth individuals, pension and profit-sharing plans, and charitable organizations. Roxanne is based in Nashville, TN and serves clients across the country. Roxanne has experience in offering a variety of financial services such as portfolio management, financial planning, and pension consulting.
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
04/14/2023 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
KY
01/21/2005 - 05/14/2008
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (LOUISVILLE KY)
NY
12/11/2002 - 01/24/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
KY
11/01/2000 - 12/04/2002
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
IA
Issued 06/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/08/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/31/2000
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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