Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Verno Turpin is an Investment Advisor Representative at UBS Financial Services Inc. Timothy is licensed to provide financial advice in New Jersey, New York and Texas. Timothy has been a registered financial advisor since 1993 and has a broad range of experience in the financial services industry. Prior to joining UBS Financial Services Inc., Timothy worked at HAPOALIM SECURITIES USA, INC., RBC PROFESSIONAL TRADER GROUP LLC, and CARLIN EQUITIES CORP. Timothy is dedicated to providing clients with personalized financial advice and helping them achieve their financial goals.
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
NY
05/10/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
09/21/2009 - 09/27/2011
HAPOALIM SECURITIES USA, INC. (NEW YORK NY)
NY
05/05/2006 - 09/18/2009
RBC PROFESSIONAL TRADER GROUP LLC (NEW YORK NY)
NY
01/29/2004 - 12/19/2005
CARLIN EQUITIES CORP. (NEW YORK NY)
NY
03/27/2003 - 07/29/2003
CARLIN EQUITIES CORP. (NEW YORK NY)
NY
12/15/1993 - 03/25/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 11/24/2009
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/30/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/14/1993
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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