Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Alexander Clarke is an investment advisor representative with UBS Financial Services Inc., where Simon has been employed since December 2015. Simon is registered with the state of New Jersey, and Texas. Simon holds the Series 66, SIE, and Series 7 licenses. Simon is a licensed investment advisor representative with 23 years of experience in the securities industry. Before joining UBS Financial Services Inc., Simon worked at CREDIT SUISSE SECURITIES (USA) LLC in Boston, MA and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION in Jersey City, NJ. Simon has been registered with the Securities and Exchange Commission (SEC) since 2000.
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
MA
12/02/2015 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
01/17/2003 - 12/18/2015
CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)
NJ
10/09/2000 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 11/04/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2000
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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