Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sangeeta? Claim Your ProfileSangeeta B. Marfatia is a financial advisor with UBS Financial Services Inc., registered in New York, with over 20 years of experience in the industry. Prior to joining UBS Financial Services Inc., Sangeeta B. Marfatia was employed with UBS Securities LLC. Sangeeta B. Marfatia holds the Series 63, Series 86, Series 87, and Series 7 licenses and is registered to provide investment advice in all 50 states, as well as the District of Columbia and Puerto Rico. Sangeeta B. Marfatia specializes in providing financial advice to individuals, businesses, corporations, charitable organizations, investment companies, pooled investment vehicles, high-net-worth individuals, and pension and profit-sharing plans.
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
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
11/14/2000 - 08/25/2005
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 02/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/10/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/13/2000
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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