UGMA stands for .
Uniform Grant to Minors Act
Uniform Grant to Minorities Act
Uniform Gift to Minors Act
Uniform Gift to Minorities Act
For the New York Stock Exchange, a company must have at least _ million
A. 1.0, 2000, 150
B. 1.0, 3000, 100
C. 1.1, 2000, 100
D. 1.1, 3000, 150
is shorthand for regular way settlement.
T + 3
S + 2 C. Z + 1.5 D. N + 3.5
Brotman Financial Group, ., a financial services firm whose professionals offer wealth management services to multi-generational families, announced today that two new professionals have joined its staff – Beth Nori and Ashley Montague.
Beth Nori joins the firm as an associate advisor, assisting the firm’s lead advisors with the development and updating of financial plans. She attends client meetings and assists with the pre-meeting preparation and the post-meeting follow-up. Beth also serves as a member of the firm’s investment committee, where she assists in the selection of asset managers and investment vendors and partners.
Ms. Nori has over four years of experience in the financial services industry, having spent three years as an Operations Specialist and one year as a Client Relationship Manager with her prior employer. She holds a Bachelor of Science degree from Salisbury University, and is currently preparing for the FINRA Series 7 (General Securities Representative) and Series 66 (Uniform Combine State Law Examination).
Ashley Montague is a new investment operations associate on Brotman Financial Group’s Investment Operations team, and is responsible for managing the reconciliation and performance reporting of client accounts, as well as client online access.
Ms. Montague graduated Cum Laude from Towson University in 2011, where she earned a Bachelor’s Degree in Business Administration. She is pursuing her MBA at Loyola University Maryland, as well as preparing for the FINRA Series 7 (General Securities Representative) and Series 66 (Uniform Combine State Law Examination) currently.
Brotman Financial Group currently employs 13 full-time staff members and services more than 300 clients nationwide.
About Brotman Financial Group, .
Founded in 2003 and based in Timonium, Md., Brotman Financial Group, . is an independent financial services firm whose team of Certified Financial PlannerTM Professionals provides individuals, small businesses and families with investment, retirement, estate, insurance and business planning. Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRASIPC. Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Brotman Financial is not affiliated with Kestra IS or Kestra AS. For more information, please call 410-252-4555 or visit .brotmanfinancialm.
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Beth Nori has been named an associate adviser and Ashley Montague is a new investment operations associate with Brotman Financial Group.
Nori will assist the firm’s lead advisers with the development and updating of financial plans. She will attend client meetings and assist with the pre-meeting preparation and post-meeting follow-up. Nori will also serve as a member of the firm’s investment committee, where she assists in the selection of asset managers and investment vendors and partners. Nori has more than four years of experience in the financial services industry, having spent three years as an operations specialist and one year as a client relationship manager with her prior employer. She holds a Bachelor of Science from Salisbury University and is preparing for the FINRA Series 7 (general securities representative) and Series 66 (uniform combine state law examination).
Montague joins Brotman’s investment operations team, and will be responsible for managing the reconciliation and performance reporting of client accounts, as well as client online access. Montague graduated cum laude from Towson University with a bachelor’s degree in business administration. She is pursuing an MBA at Loyola University Maryland and preparing for the FINRA Series 7 (general securities representative) and Series 66 (uniform combine state law examination).
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Nov 09, 2016 (Marketwired via COMTEX) -- WEST JORDAN, UT--(Marketwired - November 09, 2016) - Mountain America Credit Union proudly welcomes Joshua Cook, the newest LPL Financial advisor at LPL Financial at Mountain America Credit Union. Cook serves the Uintah Basin, including Vernal, Roosevelt and Altamont, plus the Moab area.
"I aim to provide members with an exceptional service experience," says Cook. "I believe the greatest probability of success comes from simplicity, a principle that I make a priority for every member I work with."
Cook's career spans over 16 years of experience in various roles within the financial industry. A graduate of Weber State University, he received his bachelor of science in finance and business administration. Cook holds the following registrations through LPL Financial: FINRA Series 7, 63, 65 securities licenses, as well as a Utah life insurance agent's license.
Cook is a long-time resident of the Basin. During his free time, he enjoys travel, the outdoors and shooting. His wife Cami and their three children are excited to continue to make the Basin their home for a long time to come.
Mountain America contracts with LPL Financial, one of the nation's leading diversified service companies and the largest independent broker-dealer, to offer investment services.
Securities and Financial Planning offered through LPL Financial, a Registered Investment Advisor. Member FINRASIPC. Insurance products offered through LPL Financial or its licensed affiliates. The investment products sold through LPL Financial are not insured Mountain America Credit Union deposits and are not FDICNCUA insured. These products are not obligations of Mountain America Credit Union and are not endorsed, recommended or guaranteed by Mountain America Credit Union or any government agency. The value of the investment may fluctuate, the return on the investment is not guaranteed and loss of principal is possible. Mountain America Federal Credit Union is not a registered brokerdealer and is not affiliated with LPL Financial.
Mountain America Credit Union has more than $5.7 billion in assets and serves more than 600,000 members, wherever they are, through online and mobile banking, 86 branches in five states, and access to more than 50,000 surcharge-free ATMs and 5,000 shared-branching locations nationwide. With roots dating back to the 1930s, Mountain America offers a variety of financial products and services for consumers and businesses, including savings accounts, auto loans, checking accounts, mortgage loans, business checking, student loans, SBA loans and retirement options. .macum for more information.
About LPL Financial LPL Financial, a wholly owned subsidiary of LPL Financial Holdings . LPLA, -0.30% is the nation's largest independent brokerdealer (based on total revenues, Financial Planning magazine, June 1996-2016), an RIA custodian, and an independent consultant to retirement plans. LPL was founded with a pioneering vision: to help financial advisors offer truly independent financial guidance and advice. Today LPL provides an integrated platform of proprietary technology, brokerage, and investment advisory services to over 14,000 financial advisors and 700 institutions as the nation's largest independent brokerdealer, making them a leading distributor of financial products in the United States. In addition, LPL Financial supports approximately 4,000 financial advisors licensed with insurance companies by providing customized clearing, advisory platforms and technology solutions. LPL Financial and its affiliates have more than 3,000 employees with primary offices in Boston, Charlotte and San Diego. For more information, please visit .lplm.
Media Bryan Packer 801-325-6439 Email contact
2016 Nasdaq, . .
The Expertise We’re Looking For
This is a full time hourly position that offers the opportunity for overtime based on the business needs and your availability.
The Purpose of Your Role
You bring your passion, we’ll invest in you. Yes, we are in financial services, but not in the competitive and old-fashioned way you might be thinking. We offer an industry-leading, paid development program that will prepare you to engage with customers while obtaining your Series 7 and 63 licenses where you will learn all about the financial services industry products. These inbound phone calls, chats, and email interactions can range from something as simple as an account balance inquiry to the complexity of helping inform difficult financial decisions, but your mission remains the same: help customers feel more confident, make clearer decisions, and achieve their own financial dreams.
The Skills You Bring
The Value You Deliver
At Fidelity, collaboration isn’t just about working together in our small teams (15ish); it’s about improving lives together. Our success as a firm is due to the personal responsibility and pride our associates take in getting things just right, and the compassion that drives us to go the extra mile for our customers and each other. We ask for and act on our associates’ input on everything from busting through customer issues to designing our workspaces.
We believe that a balanced life is important. Our benefit programs are designed to help you and your loved ones balance the needs of work, life and family. Sound too good to be true? See for yourself and learn more about our benefit offerings.
Fidelity Investments was recognized as the Glassdoor Candidates’ Choice Awards for 2015 and CareerBliss 50 Happiest Companies in 2015.
Apply now to learn more!
At Fidelity, we are focused on making our financial expertise broadly accessible and effective in helping people live the lives they want. To do this well, as a privately held company, we place a high degree of value in nurturing a work environment that attracts the best talent and reflects our commitment to being an employer of choice. For information about working at Fidelity, visit Fidelitycareersm
Fidelity Investments is an equal opportunity employer
The exact nature of a financial advisor's job responsibilities determines whether he must have a Series 7 license. If a financial advisor is going to act in the capacity of selling all types of general securities, such as common and preferred stock, stock options and debt securities, then he must pass the Series 7 exam and thereby obtain a Series 7 license.
Any financial advisor who sells investment products, as opposed to merely offering financial advice, must have the appropriate license. Federal licensing is provided by the Financial Industry Regulatory ity, or FINRA, while states use exams and licensing provided by the North American Securities Administrators Association, or NASAA.
The principal FINRA licenses are the Series 6, Series 7 and Series 3. The Series 6 license grants financial advisors the right to buy and sell on behalf of their clients a small number of basic investment products, such as mutual funds and annuities.
The Series 7 license enables financial advisors to engage in buying and selling virtually all securities-related investment products, including common and preferred stock, government and corporate bonds, and options. This is the license required for stockbrokers.
The Series 3 license is for brokers or financial advisors who handle commodity futures trading on behalf of their clients.
To obtain any of these licenses, a financial advisor must be employed by a financial firm, such as a brokerage, that is registered with FINRA. Upon passing the required license exam, the financial advisor becomes a registered representative of the firm.
The basic NASAA license governing state qualification, the Series 63 license, known as the Uniform Securities Agent license, is required for any individual who conducts business as a financial advisor.
The Series 65 license is for financial advisors who only provide fee-based financial advice to clients but do not directly buy or sell securities.
The Series 66 license enables financial advisors to act in the capacity of broker-dealers, authorized to directly buy and sell investment products. A prerequisite to taking the Series 66 exam is having a Series 7 license.