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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 Dumont is a financial advisor with UBS Financial Services Inc. Timothy has been in the financial industry for over 27 years. Timothy's career began at SMITH BARNEY INC. in 1995 and continued with J.C. BRADFORD & CO. in 1998 before joining UBS Financial Services Inc. in 2000. Timothy has a wide range of experience and holds the Series 63, SIE and Series 7 licenses and the Chartered Financial Analyst designation. Timothy is registered to provide financial services in 48 states and the District of Columbia.
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
OH
11/02/2009 - Present
UBS Financial Services Inc. (CINCINNATI OH)
NY
09/12/1998 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
12/19/1995 - 09/04/1998
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 01/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/1995
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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