Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shelley? Claim Your ProfileShelley Treadway Waters is an investment advisor representative associated with UBS Financial Services Inc. Shelley has been in the securities industry since 1993. Shelley is a Registered Representative and an Investment Advisor Representative in Texas and is also registered in Alabama. Shelley's experience includes working for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and FIRST INVESTORS CORPORATION.
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
TX
12/23/2008 - Present
UBS Financial Services Inc. (THE WOODLANDS TX)
TX
01/24/1994 - 12/09/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE WOODLANDS TX)
NA
03/31/1987 - 05/14/1987
FIRST INVESTORS CORPORATION
IA
Issued 06/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 01/21/1994
Series 7 - General Securities Representative Examination
BC
Issued 03/30/1987
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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