Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Rose is a financial advisor at UBS Financial Services Inc., a firm that provides investment and advisory services. William has over 20 years of experience in the financial services industry. He is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 66, SIE, and Series 7 licenses. William has a strong track record of providing personalized financial advice to individuals, families, and businesses. He has a deep understanding of the financial markets and is committed to helping his clients achieve their financial goals.
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
NY
03/01/2013 - Present
UBS Financial Services Inc. (New York NY)
NJ
06/01/2009 - 03/15/2010
MORGAN STANLEY SMITH BARNEY (PARAMUS NJ)
NJ
02/16/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)
NJ
04/26/2000 - 03/01/2007
UBS FINANCIAL SERVICES INC. (PARAMUS NJ)
BOTH
Issued 03/09/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2000
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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