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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seema? Claim Your ProfileSeema V Khanna is an investment advisor representative with UBS Financial Services Inc. Seema V Khanna has been in the securities industry since May 23, 2001. Seema V Khanna is registered with FINRA and the state of New York and Texas. Seema V Khanna is also registered with the state of New York. Seema V Khanna has a Series 7, Series 66, and SIE. Seema V Khanna has worked for several other firms, including Morgan Stanley, UBS International Inc., and American Express Financial Advisors Inc. Seema V Khanna has a total of 10 approved SRO registrations, 1 approved FINRA registration, 4 approved state registrations, and 2 approved IA state registrations. Seema V Khanna currently works at the UBS Financial Services Inc. branch office located in New York, NY.
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
08/30/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/19/2016 - 09/12/2024
MORGAN STANLEY (New York NY)
NY
01/01/2010 - 03/01/2016
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
08/05/2005 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
MN
05/24/2001 - 08/08/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
BOTH
Issued 11/20/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2001
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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