Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vanessa? Claim Your ProfileVanessa Pfaff is a financial advisor with UBS Financial Services Inc. She is based in Miamisburg, OH and has been in the industry since 2006. Vanessa holds the Series 7 and 66 licenses and is also a Certified Financial Planner. Vanessa has a wealth of experience in financial planning and portfolio management, and she is committed to helping her clients achieve their financial goals. Vanessa is a member of the Glen Ellyn Infant Welfare Society.
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
OH
10/02/2014 - Present
UBS Financial Services Inc. (Miamisburg OH)
NJ
06/29/2009 - 10/03/2012
ADP BROKER-DEALER, INC. (ROSELAND NJ)
CT
04/09/2009 - 06/26/2009
MANAGERS DISTRIBUTORS, INC. (STAMFORD CT)
NY
10/18/2007 - 12/31/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
IL
05/30/2006 - 10/10/2007
CLAYMORE SECURITIES, INC. (CHICAGO IL)
OH
03/03/2006 - 05/22/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (UPPER ARLINGTON OH)
BOTH
Issued 04/12/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2006
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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