Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tod? Claim Your ProfileTod Daley Asmussen is a registered investment advisor with UBS Financial Services Inc. Tod has been in the financial services industry since 1994. Tod has been registered with UBS Financial Services Inc. since 2008 and also has prior registration with Morgan Stanley & Co., Incorporated and Morgan Stanley DW Inc. Tod is licensed to offer financial advice in 27 states and has passed exams in securities, futures and investment advisory.
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
WA
06/29/2011 - Present
UBS Financial Services Inc. (SEATTLE WA)
CA
04/02/2007 - 02/26/2008
MORGAN STANLEY & CO., INCORPORATED (SAN JOSE CA)
CA
06/14/1994 - 04/02/2007
MORGAN STANLEY DW INC. (SAN JOSE CA)
IA
Issued 07/20/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 06/13/1994
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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