Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stacey? Claim Your ProfileStacey Roseman is an active investment advisor representative at UBS Financial Services Inc. Stacey has been working in the financial industry since 2017 and has a strong background in financial services. She has a Series 66, Series 7TO, Series 10 and Series 9 license. Stacey is registered with the state of Tennessee and offers a variety of services, including financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, publication of periodicals, and selection of other advisors. UBS Financial Services Inc. is a well-established firm with over 6,000 employees and a diverse client base.
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
TN
11/21/2022 - Present
UBS Financial Services Inc. (CHATTANOOGA TN)
BOTH
Issued 11/19/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/28/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/11/2022
Series 7TO - General Securities Representative Examination
BC
Issued 08/14/2021
SIE - Securities Industry Essentials 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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