Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Victoria? Claim Your ProfileVictoria Hargrove is a financial advisor at UBS Financial Services Inc. in San Francisco, CA. Victoria is registered with FINRA and has been in the industry for over 34 years. She has a wide range of experience in the industry, having worked for several prominent firms, including Morgan Stanley, Citigroup Global Markets Inc., Lehman Brothers Inc., and PaineWebber Incorporated. Victoria has Series 7, Series 31, Series 63, and Series 66 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
03/20/2015 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/01/2009 - 03/31/2015
MORGAN STANLEY (SAN FRANCISCO CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
11/23/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MO
03/17/1992 - 12/03/1992
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NJ
10/19/1988 - 03/09/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 08/27/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 10/15/1988
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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