Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthony? Claim Your ProfileAnthony Guinane is a financial advisor with over 25 years of experience in the financial services industry. Anthony currently works at UBS Financial Services Inc., where Anthony is registered as a Registered Representative in California and Texas. Previously, Anthony was a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Newport Beach, CA from 2002 to 2013 and Prudential Securities Incorporated in New York, NY from 1999 to 2002. Anthony has a strong track record of providing investment advice to individuals, families, and businesses. Anthony is dedicated to helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
11/05/2013 - Present
UBS Financial Services Inc. (IRVINE CA)
CA
01/18/2002 - 10/31/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
NY
10/01/1999 - 02/14/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/28/1998 - 09/21/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/21/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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