Home  >  BrightScope Advisor Pages  >  L Marc Shegoski

L Marc Shegoski

Is this you? (Click to claim profile)
Contact Advisor

Information

Firm:
Type: Dual Registration
Description

L Shegoski is a financial professional at UBS Financial Services Inc., a broker-dealer with over 12,600 registered representatives nationwide. L has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
UBS Financial Services Inc. 19 years, 6 months Jan 1995 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 12/28/1993
Uniform Securities Agent State Law ExaminationSeries 63 05/10/1983
General Securities Representative ExaminationSeries 7 03/21/1981

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

L Marc Shegoski has not answered any questions on Financial Q&A.

Top Guides

L Marc Shegoski has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
08/28/2012
08/12/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS