financial advisor program ubs Millside

What kind of person makes a great financial advisor?

Grant Rasmussen, President and CEO, UBS Bank (Canada) and Head of Wealth Management for UBS in Canada talks about what kind of person makes a ...

New Hire Roundup: Bowen Is Acting Chair at SIPC; Pologe goes to Genworth

20.05.12

Also, JHS Capital Advisors added Diane Spearin and Woody Mason and KPMG welcomed Budzyna and Holmes to its alternative investments practice. This week in new hires, LPL Financial named Joan Khoury managing director and chief marketing officer.

Source:AdvisorOne

When is principal protection something else? - Managed Funds ...

by CustomerService@sbmedia.com (DANIEL P. COLLINS)

According to Finra, UBS advertised, and some UBS financial advisors described, the structured notes as principal-protected investments and failed to emphasize they were unsecured obligations of Lehman Brothers. He Financial Industry Regulatory Authority (Finra) in April fined UBS Financial Services , Inc. " Bennett added that in some cases, "UBS’s financial advisors did not even understand the complex products they were selling. The group of products, 100% Principal-Protection Notes (PPNs) Lehman Brothers Holdings Inc. Finra Chief of Enforcement Brad Bennett said in the release, "This matter underscores a firm’s need to be clear and comprehensive in disclosing risks of the structured products it sells to retail investors....

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financial advisor program ubs - Bookshelf

86 pages	Ubs 2009 Creator: WetFeet \| Business & Economics - 2009 traInInG UBS emphasizes training and development to help provide its many new employees with a solid knowledge base and ... There are three stages to this New Financial Adviser Development (NFAD) program. It begins with approximately 12 ... Publisher: Wetfeet, Inc.

489 pages	Vault guide to the top financial services employers Creator: Derek Loosvelt \| Business & Economics - 2006-09-25 To apply for a financial advisor position, go to the career section of financialservicesinc.ubs.com. ... According to UBS, the firm also offers undergraduates unique rotational and non-rotational programs that prepare individuals to ... Publisher: Vault Reports Inc

	Coping with broker-dealer regulation & increasing enforcement Creator: Practising Law Institute \| Business & Economics - 2008 UBS financial advisor D described the cash management program as consisting of " Certificates of deposits, treasury bills, auction rate securities, anything that fit into that one year or less." Furthermore, UBS financial advisor D did ...

	U.S. regulation of the international securities and derivatives markets Creator: Edward F. Greene \| Business & Economics - 2005-09 Financial advisors are also subject to the provisions of Regulation M. Unlike the bidders (and their affiliated purchasers), ... In connection with the merger of UBS AG ("UBS") with Paine Webber Group, Inc., the staff permitted UBS's ... Publisher: Aspen Law & Business

	Citigroup Global Markets, Inc.; UBS Securities LLC and UBS Financial Services Inc.: Securities and Exchange Commission Litigation Complaint (UBS) Creator: Robert Blackburn \| Throughits financial advisors ("FAs"), marketing materials, and account statements, UBS misrepresented to its ... part of 2007 and earIy 2008, UBS's senior management was aware of undisclosd risk factors associated with its ARS program, ...