Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Souvanna? Claim Your ProfileSouvanna Sophabmixay is a financial advisor registered with UBS Financial Services Inc. in Walnut Creek, CA. Souvanna has been in the industry since 2012. Prior to working with UBS, Souvanna worked at Morgan Stanley in Palo Alto, CA. Souvanna has a series of industry licenses, including Series 3, 7, 9, 10 and 66. Souvanna's clients include individuals, businesses, corporations, pension plans, charities, and high-net-worth individuals. Souvanna provides a wide range of financial services including portfolio management, financial planning, and investment advice.
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
08/24/2017 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
09/23/2013 - 08/21/2017
MORGAN STANLEY (PALO ALTO CA)
CA
07/30/2012 - 09/05/2013
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
BOTH
Issued 10/29/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/18/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/2013
Series 3 - National Commodity Futures Examination
BC
Issued 07/27/2012
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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