Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wesley? Claim Your ProfileWesley Sapp is a registered investment advisor representative with Empirical Research Partners LLC in New York, NY. Wesley has been in the financial services industry since December 2008. Wesley has passed the Series 65, 63, 7, 86, and 87 exams and is licensed to provide investment advice in New York. Wesley previously worked at UBS Financial Services Inc. and UBS Securities LLC.
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.
See schedule d - miscellaneous for explanation.
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.
See schedule d - miscellaneous for explanation.
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2
NY
08/23/2023 - Present
Empirical Research Partners LLC (NEW YORK NY)
NJ
01/20/2009 - 02/10/2009
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/28/2008 - 12/23/2008
UBS SECURITIES LLC (NEW YORK NY)
IA
Issued 06/15/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/18/2010
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/27/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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