Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sarah? Claim Your ProfileSarah Elizabeth Hornsby is a financial advisor at UBS Financial Services Inc. based in Baton Rouge, Louisiana. Sarah has been in the financial industry since 2007. Sarah is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 63, 66 and 7 licenses. In addition to her current registration, Sarah is also registered with the states of California, Colorado, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Kentucky, Louisiana, Michigan, Mississippi, Missouri, New Hampshire, New York, North Carolina, Oklahoma, Tennessee, Texas, Utah and Washington. Before joining UBS Financial Services Inc., Sarah was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America, N.A.. Sarah provides financial planning, portfolio management, and pension consulting 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
LA
01/08/2021 - Present
UBS Financial Services Inc. (BATON ROUGE LA)
LA
03/28/2012 - 12/18/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BATON ROUGE LA)
LA
05/15/2009 - 04/13/2012
J.P. MORGAN SECURITIES LLC (BATON ROUGE LA)
LA
05/22/2007 - 03/30/2009
STANFORD GROUP COMPANY (BATON ROUGE LA)
BOTH
Issued 06/25/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2007
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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