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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vickie? Claim Your ProfileVickie Schaaf is an investment advisor representative with UBS Financial Services Inc. Vickie has over 20 years of experience in the financial services industry and holds Series 7, 9, 10, 63 and 66 licenses. Vickie has been registered with UBS Financial Services Inc. since November 2012. Before joining UBS Financial Services Inc., Vickie was previously employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Keegan & Company, Inc. Vickie is registered with the state of Ohio for both broker-dealer and investment adviser activities, and is also registered with the state of Texas for investment adviser activities.
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
12/05/2012 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
03/13/2012 - 11/23/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CINCINNATI OH)
FL
11/19/2010 - 12/31/2011
MORGAN KEEGAN & COMPANY, INC. (NAPLES FL)
OH
04/13/1999 - 10/14/2009
UBS FINANCIAL SERVICES INC. (CINCINNATI OH)
BOTH
Issued 08/21/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/02/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/17/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/24/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/1999
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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