Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Salvatore? Claim Your ProfileSalvatore Sofia is a financial advisor registered with UBS Financial Services Inc. based in Weehawken, NJ. Salvatore Sofia has been in the industry since 1991 and has previously worked with UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO in Hato Rey, PR and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in New York, NY. Salvatore Sofia holds a Series 7, Series 9, Series 10, Series 24, Series 63 and Series 65 license and is registered to provide investment advice in New Jersey, New York and Puerto Rico.
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
04/02/2012 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
PR
12/14/2012 - 08/28/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
NY
08/25/2010 - 03/05/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
08/28/1991 - 07/06/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
IA
Issued 08/27/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/07/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/07/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1991
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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