Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wesley? Claim Your ProfileWesley Day Tate is a financial advisor registered with UBS Financial Services INC. Wesley has been working in the financial services industry since November 22, 1983. Previously, Wesley worked at MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., and CITIGROUP GLOBAL MARKETS INC.. Wesley holds licenses for Series 3, 7, 63, and 65. Wesley is registered to provide investment advice in 33 states and the District of Columbia. Wesley specializes in providing financial planning services to individuals, businesses, and charitable organizations. Wesley is located in the Oakbrook Terrace, Illinois office of UBS Financial Services INC.
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
IL
07/25/2011 - Present
UBS Financial Services Inc. (OAKBROOK TERRACE IL)
IL
06/01/2009 - 07/21/2011
MORGAN STANLEY SMITH BARNEY (OAK BROOK IL)
IL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (OAK BROOK IL)
IL
07/07/2006 - 04/02/2007
MORGAN STANLEY DW INC. (OAK BROOK IL)
IL
09/30/1986 - 07/12/2006
CITIGROUP GLOBAL MARKETS INC. (OAKBROOK TERRACE IL)
NA
11/23/1983 - 10/21/1986
KIDDER, PEABODY & CO. INCORPORATED
IA
Issued 5/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/22/1987
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1983
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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