Kenneth H Finley
Investment adviser representative at UBS Financial Services Inc.
12 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- UBS Financial Services Inc.Sep 2023 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 2022 to Sep 2023
- The Vanguard Group, Inc.Jan 2022 to May 2022
- Grandsouth BankMay 2021 to Sep 2021
- Parallel FinancialMay 2020 to Jul 2020
- Ingles Grocery StoreApr 2020 to Jul 2020
- Oilmen'sMay 2019 to Aug 2019
- University of South CarolinaAug 2018 to Dec 2021
- First Baptist Church In SpartanburgJun 2018 to Aug 2018
- Master's MarkMay 2018 to Aug 2018
- Dorman High SchoolAug 2014 to Jun 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 1 state (SC).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7493201
- Firm CRD
- 8174