Penelope KeeneCRD Number: 1302217
Current Firm: Ubs Financial Services Inc.
Penelope Keene (CRD# 1302217) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Huntsville, AL and has over 32 years of experience in the finance industry.
Raymond James & Associates, Inc.
Brol Capital Management, LLC
H.d. Vest Advisory Services, Inc.
|Ubs Financial Service Inc.||Birmingham, AL||Dec 2008 - Current||8|
|Merrill Lynch, Pierce, Fenner & Smit||Huntsville, AL||Jul 1984 - Dec 2008||24|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Huntsville, AL||Jul 1984 - Dec 2008||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1984|
|S65||NASAA Investment Advisors Law Examination||Jan 1994|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV