Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theresa? Claim Your ProfileTheresa Printy is a financial advisor in HOUSTON, TX. Theresa has been in the industry since 2001. Theresa is a registered representative of UBS Financial Services Inc. and has been with UBS Financial Services Inc. since 2006. Prior to that, Theresa worked at CITIGROUP GLOBAL MARKETS INC., LINSCO/PRIVATE LEDGER CORP., PFS INVESTMENTS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and UBS PAINEWEBBER INC. Theresa holds the following licenses: Series 7, Series 63, Series 66 and SIE. Theresa specializes in the following areas: Pension and Profit Sharing Plans, Individuals Other than High Net Worth, Business Development Companies, Pooled Investment Vehicles, Banking or Thrift Institutions, Insurance Companies, Investment Companies, Charitable Organizations, High Net Worth Individuals, Other Investment Advisers, State or Municipal Government Entities, Corporations or Other Businesses, Sovereign Wealth Funds and Foreign Official Institutions and Other.
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
TX
11/14/2008 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
02/06/2006 - 04/19/2006
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
SC
08/11/2005 - 12/02/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
GA
06/30/2005 - 08/12/2005
PFS INVESTMENTS INC. (DULUTH GA)
NY
06/04/2003 - 04/05/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
07/28/2000 - 05/14/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 11/12/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2000
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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