Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah C. Morgan is a financial advisor with UBS Financial Services Inc., located in Indianapolis, Indiana. Sarah has been working in the financial industry since January 10, 2011. Sarah holds several licenses and certifications including Series 3, 7, 63, 66, and SIE. Before joining UBS Financial Services Inc., Sarah worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and CHARLES SCHWAB & CO., INC.
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
IN
11/30/2017 - Present
UBS Financial Services Inc. (INDIANAPOLIS IN)
IN
03/22/2011 - 12/01/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
IN
12/03/2010 - 02/10/2011
CHARLES SCHWAB & CO., INC. (INDIANAPOLIS IN)
BOTH
Issued 12/07/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/24/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/30/1997
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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