Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stacy? Claim Your ProfileStacy Lynn Fox is a financial advisor currently registered with UBS Financial Services Inc. Stacy has been working in the financial services industry since December 2005. Stacy has passed the Series 66, Series 7, Series 9, Series 10, and SIE exams. Stacy has held past registrations with MORGAN STANLEY and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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
KY
04/23/2020 - Present
UBS Financial Services Inc. (LOUISVILLE KY)
KY
07/28/2017 - 01/03/2020
MORGAN STANLEY (LOUISVILLE KY)
KY
08/12/2005 - 07/17/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOUISVILLE KY)
BOTH
Issued 09/23/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/09/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/12/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2005
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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