Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tara? Claim Your ProfileTara Flax is an investment advisor representative with UBS Financial Services Inc. Tara has been in the financial industry since 1998. Tara is registered with the Financial Industry Regulatory Authority (FINRA) and has a Series 7, Series 9, Series 10, Series 63, and Series 66 license. Tara is also registered as an investment advisor representative in New Jersey and North Carolina. Previously, Tara was affiliated with WELLS FARGO CLEARING SERVICES, LLC 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
NJ
01/28/2022 - Present
UBS Financial Services Inc. (RED BANK NJ)
NJ
07/16/2013 - 01/21/2022
WELLS FARGO CLEARING SERVICES, LLC (SUMMIT NJ)
NJ
11/24/1999 - 01/03/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NY
03/12/1997 - 10/08/1998
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
MN
01/03/1995 - 08/15/1996
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/03/1995 - 08/15/1996
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 11/05/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/08/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/29/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/1994
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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