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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Francis Mogan is a financial advisor with UBS Financial Services Inc., located in Rockland, MA. Timothy has been in the financial services industry since May 19, 2015 and holds licenses to provide investment advice in various states, including Texas where Timothy has a Series 66 registration. Timothy has worked at UBS Financial Services Inc. since October 18, 2019. Before that, Timothy worked at MFS FUND DISTRIBUTORS, INC. Timothy has a total of 2 state exams and 3 product exams including the Series 7 and the Series 6. Timothy's credentials include the SIE and the Series 66.
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
MA
10/18/2019 - Present
UBS Financial Services Inc. (ROCKLAND MA)
MA
04/10/2015 - 05/18/2017
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
BOTH
Issued 08/10/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2016
Series 7 - General Securities Representative Examination
BC
Issued 04/10/2015
Series 6 - Investment Company Products/Variable Contracts 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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