Komalpreet Kaur, financial advisor Naperville IL

Komalpreet Kaur

CRD Number: 6823889
Current Firm: Ubs Financial Services Inc.

Komalpreet Kaur (CRD# 6823889) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Naperville, IL and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Naperville, IL Oct 2019 - Current 1
Fidelity Brokerage Services LLC Naperville, IL Jun 2018 - Sep 2019 1
Unemployed Bolingbrook, IL Dec 2017 - May 2018 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows, IL Jun 2017 - Nov 2017 < 1
Bank Of America Bolingbrook, IL Jan 2016 - Jun 2017 1
Tj Maxx Romeoville, IL May 2015 - Jan 2016 < 1
Liberty Mutual Insurance Warrenville, IL Jun 2015 - Aug 2015 < 1
Unemployed Bolingbrook, IL Feb 2015 - May 2015 < 1
La Salle Kitchen Lewis University Romeoville,, IL Sep 2014 - Feb 2015 < 1
Seven Eleven Lodi, NJ May 2014 - Sep 2014 < 1
Lodi High School Lodi, NJ Jan 2007 - May 2014 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2018
S66 NASAA Uniform Combined State Law Examination Jul 2019
Contact Info for Komalpreet Kaur
Phone Number: 201-352-3000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    591,361
    MILLIONS
  • Total Number of Accounts
    975,301
    ACCOUNTS
  • Average Account Value
    $606,337
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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
Types of Clients
Registered States

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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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