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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Traci? Claim Your ProfileTraci Beth Simpson is a financial advisor with UBS Financial Services Inc. Traci has been in the industry since November 8, 2004, and has a wide range of experience in the financial services industry. Traci is registered to provide investment advice in New Jersey, and has passed the Series 6, 7, 66, SIE and Series 99 exams. Traci has worked with a variety of clients, including individuals, families, corporations and businesses. Traci specializes in retirement planning, college savings, estate planning, and investment management. Traci has a strong commitment to helping her clients 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
NJ
05/11/2010 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
MN
04/10/2001 - 11/26/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/10/2001 - 11/26/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
11/03/1994 - 08/02/1996
FLEET ENTERPRISES, INC. (NEW YORK NY)
BOTH
Issued 05/07/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2010
Series 7 - General Securities Representative Examination
BC
Issued 11/02/1994
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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