Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Bartolai is a financial advisor associated with UBS Financial Services Inc. with over 30 years of experience in the industry. Sam's experience is primarily in securities. Sam holds licenses for Series 3, 7, 31, 63, and 65 as well as the Securities Industry Essentials exam (SIE).
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
IL
02/06/2013 - Present
UBS Financial Services Inc. (BARRINGTON IL)
NY
03/12/1990 - 04/01/1998
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IL
05/27/1986 - 03/22/1990
BERNARDI SECURITIES, INC. (NORTHFIELD IL)
IA
Issued 01/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/24/1986
Series 7 - General Securities Representative Examination
BC
Issued 05/08/1985
Series 3 - National Commodity Futures 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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