Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Eleanor Dodds is a financial advisor at UBS Financial Services Inc. Sarah is a registered representative and investment advisor representative with 11 years of experience in the financial services industry. Sarah has been with UBS Financial Services Inc. since December 2012 and has previously worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. Sarah is registered in 8 states and holds the Series 6, 7, 63, and 66 licenses, as well as the SIE. Sarah specializes in providing financial planning, portfolio management, and investment advisory services to individuals and businesses.
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
KS
05/15/2018 - Present
UBS Financial Services Inc. (WICHITA KS)
KS
05/09/2012 - 01/02/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WICHITA KS)
BOTH
Issued 05/15/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2016
Series 7 - General Securities Representative Examination
BC
Issued 05/08/2012
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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