Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Valerie? Claim Your ProfileValerie Rosaly is a financial professional with over 20 years of experience in the industry. Valerie is currently registered with UBS Financial Services Inc. and has previously been registered with LPL Financial Corporation, IFMG Securities, Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Prudential Investment Management Services LLC, and Salomon Smith Barney Inc. Valerie is a Certified Financial Planner and holds Series 7, 9, 10, 63 and 65 licenses. Valerie has a strong track record of providing financial advice to individuals, families, and businesses. Valerie is dedicated to helping 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
01/07/2009 - Present
UBS Financial Services Inc. (WESTFIELD NJ)
NY
05/27/2008 - 11/12/2008
LPL FINANCIAL CORPORATION (BROOKLYN NY)
NY
10/02/2007 - 05/27/2008
IFMG SECURITIES, INC. (BROOKLYN NY)
NY
07/01/2003 - 09/19/2007
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
06/02/2003 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
10/07/1999 - 05/30/2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
04/12/1999 - 09/24/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/19/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/23/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/9/1999
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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