Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xi? Claim Your ProfileXi Qiao is a registered representative with UBS Financial Services Inc. located in San Francisco, California. Xi has over 16 years of experience in the financial services industry. Xi has a Series 7, Series 31 and Series 66 license and is registered to provide investment advice in California, Texas, Florida, Massachusetts, Minnesota, Nevada, New Jersey, New York and Washington. Xi previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley Smith Barney and Morgan Stanley & Co. Incorporated. Xi is also an owner of two LLCs for investment rental properties. Xi is dedicated to providing personalized financial advice and working with clients to 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
CA
10/02/2015 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
02/18/2011 - 10/07/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
06/01/2009 - 02/24/2011
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
05/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
BOTH
Issued 05/25/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 04/30/2007
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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