Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shelley? Claim Your ProfileShelley Goglio is an investment advisor representative associated with UBS Financial Services Inc. since June 1989. Shelley Goglio has been in the industry since August 1993 and has been actively registered with the state of California and Texas as an Investment Adviser Representative. Shelley Goglio is licensed to provide securities and investment advisory services in numerous states across the US, including California, Texas, Alabama, Arizona, Arkansas, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Utah, Virgin Islands, Virginia, Washington, Wisconsin, and Wyoming. Shelley Goglio is also registered with FINRA and other self-regulatory organizations. Shelley Goglio holds the Series 3, Series 7, and Series 63 securities licenses and the Series 65 investment advisor license. Shelley Goglio specializes in providing financial planning, portfolio management, and securities ratings services to individuals, businesses, and institutions, including 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
CA
10/12/2007 - Present
UBS Financial Services Inc. (LOS GATOS CA)
NY
08/27/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 09/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2009
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/1993
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
Not sure Shelley Goglio is the right advisor for you? Invested Better is here to help.
