FINRA Licensing Requirements

You should get to know Erin Ort – DesMoinesRegister.com

DesMoinesRegister.comYou should get to know Erin OrtDesMoinesRegister.comBackground: I was born in Des Moines, went to Roosevelt High School and graduated with a bachelor's in communications from Marquette University. I hold a Series 7, Series 66, and Series 24 license with FINRA. I'm also licensed for life, accident and …

Don't Give up Your FINRA License – WealthManagement.com

Don't Give up Your FINRA LicenseWealthManagement.comWhat I have noticed instead is advisors wanting to give up their FINRA broker dealer license to become an investment advisor representative (IAR), so to be able to offer to their clients solely a fee based platform. What is driving advisors to …

UBS Declares Coupon Payments on Ten Monthly Pay ETRACS Exchange-Traded Notes

UBS Investment Bank today announced coupon payments for ten ETRACS exchange-traded notes , all traded on the NYSE Arca. The relevant coupon information is provided in the table below.


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