Elizabeth RockwellCRD Number: 5041734
Current Firm: Ubs Financial Services Inc.
Elizabeth Rockwell (CRD# 5041734) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Stamford, CT and has over 15 years of experience in the finance industry. Elizabeth Rockwell has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Park Avenue Securities LLC
American Portfolios Advisors, Inc.
Hightower Advisors, LLC
|Ubs Financial Services Inc.||Stamford, CT||Nov 2020 - Current||1|
|Fieldpoint Private Secruities LLC||Greenwich, CT||Nov 2014 - Nov 2020||6|
|Llbh||Westport, CT||Nov 2012 - Nov 2014||2|
|Chronogram Corporation||Greenwich, CT||Mar 2006 - Nov 2012||6|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Apr 2006|
|S63||Uniform Securities State Law Examination||Jun 2018|
Total Assets Under Management572,471MILLIONS
Total Number of Accounts1,003,533ACCOUNTS
Average Account Value$570,455
- 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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