Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Veronica? Claim Your ProfileVeronica Naomi Kern is an investment advisor representative with UBS Financial Services Inc. Veronica has been in the industry since October 6, 2006. Veronica has experience at several firms including Morgan Stanley, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Wells Fargo Advisors, LLC. Veronica is registered to provide investment advice in Arkansas, California, Massachusetts, Utah, and Washington. Veronica also holds the Series 66, Series 3, Series 7, Series 10, and Series 9 securities licenses.
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
01/01/2025 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
01/11/2019 - 05/24/2022
MORGAN STANLEY (Beverly Hills CA)
CA
08/28/2017 - 12/06/2018
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
12/10/2015 - 07/26/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (REDONDO BEACH CA)
CA
05/07/2007 - 10/15/2015
WELLS FARGO ADVISORS, LLC (LOS ANGELES CA)
CA
03/29/2006 - 02/27/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
BOTH
Issued 04/28/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/30/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2008
Series 3 - National Commodity Futures Examination
BC
Issued 03/28/2006
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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