Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tricia? Claim Your ProfileTricia Kramer is a financial advisor with UBS Financial Services Inc., where she has been with the firm since November 2014. She has a background in the financial industry dating back to 1991. Tricia has a wide range of experience in the industry, having previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Deutsche Banc Alex. Brown Inc., DB ALEX. BROWN LLC, Alex. Brown & Sons Incorporated, CS First Boston Corporation, and Smith Barney, Harris Upham & Co., Incorporated. Tricia is registered with the state of California and Texas.
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
CA
11/18/2014 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
11/29/2002 - 11/18/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NY
01/13/2001 - 10/16/2001
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
07/28/1994 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NY
01/14/1993 - 07/06/1994
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
12/18/1991 - 01/14/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 11/04/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1991
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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