Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sherry? Claim Your ProfileSherry Rose is a financial advisor at UBS Financial Services Inc., a firm with over $700 billion in regulatory assets under management. Sherry has been in the financial services industry since 1985 and has extensive experience working with individuals, businesses, and institutions. Sherry is a registered representative with FINRA and holds the Series 7, 9, 63, and SIE licenses.
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
07/27/2022 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
03/07/2008 - 07/08/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (THE WOODLANDS TX)
TX
05/12/2006 - 03/12/2008
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
01/03/2003 - 05/15/2006
OPPENHEIMER & CO. INC. (HOUSTON TX)
NY
06/29/2001 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
06/14/1999 - 07/11/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
TN
03/15/1996 - 06/17/1999
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NJ
01/01/1991 - 03/05/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
10/18/1990 - 01/01/1991
ROTAN MOSLE INC.
TX
01/23/1986 - 04/05/1990
TEXAS FIRST SECURITIES CORPORATION (HOUSTON TX)
NA
02/21/1985 - 09/10/1986
MAY & O'CONNOR CAPITAL INC
BC
Issued 03/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1985
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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