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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Todd? Claim Your ProfileTodd Richard Wert is a financial advisor with UBS Financial Services Inc. Todd has been in the financial services industry since February 1988 and has a broad range of experience. Todd is registered with FINRA and the Securities Investor Protection Corporation (SIPC). Todd holds the Series 7, Series 63, and Series 65 licenses. Todd is also registered as an investment advisor representative in several states. Todd specializes in providing financial advice to individuals, businesses, and high-net-worth individuals.
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
AZ
01/29/2015 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
06/01/2009 - 04/08/2014
MORGAN STANLEY (TEMPE AZ)
AZ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MESA AZ)
AZ
11/14/1997 - 04/02/2007
MORGAN STANLEY DW INC. (MESA AZ)
NY
07/31/1993 - 11/21/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
09/09/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/25/1991 - 08/02/1991
MASON, HUNT & CO., INC.
AZ
02/27/1990 - 07/09/1991
WESTAMERICA INVESTMENT GROUP (SCOTTSDALE AZ)
NA
01/20/1988 - 03/06/1990
RL KOTROZO, INC.
IA
Issued 06/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
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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