Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samantha? Claim Your ProfileSamantha Maley is a financial advisor at UBS Financial Services Inc. Samantha has been in the industry since October 3, 2014, and has experience working at Manning & Napier Investor Services, Inc. and Morgan Stanley before joining UBS Financial Services Inc. Samantha is licensed to provide financial advice in several states, including New York, Connecticut, Texas, California, Florida, Missouri, Indiana, Ohio, Pennsylvania, and South Carolina. Samantha holds several securities licenses including Series 6, 7TO, 63 and 66.
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
NY
10/07/2021 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
09/06/2019 - 11/01/2021
MORGAN STANLEY (Pittsford NY)
NY
09/18/2014 - 08/20/2019
MANNING & NAPIER INVESTOR SERVICES, INC. (FAIRPORT NY)
BOTH
Issued 02/20/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/19/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2014
Series 6 - Investment Company Products/Variable Contracts 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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