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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shoba? Claim Your ProfileShoba Sriaiyer is an investment advisor representative for UBS Financial Services Inc. She is registered in several states including Washington, Texas, New York, New Jersey, Minnesota, Florida, Connecticut, Colorado, and California. Shoba has been in the industry since 2005 and holds several licenses including Series 3, 7, 9, 10, 66, and SIE. Shoba has worked for several companies in the past including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Goldman, Sachs & Co. She is a member of the Women's Business Exchange / WBE of Puget Sound and The Youth Development Project Inc.
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
WA
10/02/2013 - Present
UBS Financial Services Inc. (SEATTLE WA)
NY
02/23/2007 - 09/14/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/13/2001 - 03/07/2007
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
12/21/2000 - 04/25/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 10/02/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/03/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/14/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2013
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/2013
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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