Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wolfgang? Claim Your ProfileWolfgang Doerr is a financial advisor with UBS Financial Services Inc. Wolfgang has been in the industry since July 13, 2000 and is registered with the states of Arizona, California, Colorado, Connecticut, Florida, Illinois, Massachusetts, Michigan, New Jersey, New York, Rhode Island, Texas, Wisconsin, and Wyoming. Wolfgang holds the Series 63, 66, 7, 9, 10, and SIE licenses. In addition to working with individuals, Wolfgang also works with corporations, charitable organizations, and pension plans.
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
09/16/2019 - Present
UBS Financial Services Inc. (New York NY)
NY
09/04/2006 - 05/30/2018
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
01/18/2001 - 01/31/2003
HVB CAPITAL MARKETS, INC. (NEW YORK NY)
NY
07/11/1997 - 10/04/2000
J.P.P. EURO-SECURITIES, INC. (NEW YORK NY)
NY
12/17/1996 - 01/07/1997
DRESDNER KLEINWORT BENSON NORTH AMERICA LLC (NEW YORK NY)
NY
02/26/1996 - 12/17/1996
DRESDNER SECURITIES (USA) INC. (NEW YORK NY)
BOTH
Issued 07/02/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/01/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/06/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2006
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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