Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sudhicha? Claim Your ProfileSudhicha Vasavanont is a financial professional with over 20 years of experience in the industry. Sudhicha is currently registered with UBS Financial Services Inc. as a Registered Representative and Investment Advisor Representative in Illinois and Wisconsin. Previously, Sudhicha has held positions at Citigroup Global Markets Inc. and Morgan Stanley DW Inc. Sudhicha has a broad range of experience in the financial industry, including experience in portfolio management, financial planning, and securities trading.
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
IL
09/04/2018 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
09/23/2004 - 06/20/2006
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NY
09/02/1999 - 09/02/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 12/30/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/29/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 09/01/1999
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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