Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you April? Claim Your ProfileApril Sullivan is a financial advisor with over 25 years of experience in the industry. April is currently registered with UBS Financial Services Inc. in THE WOODLANDS, TX and has been with the firm since 2005. Prior to joining UBS Financial Services Inc., April was registered with TRADESTAR INVESTMENTS,INC. and FISERV INVESTOR SERVICES, INC. April holds several industry licenses including Series 7, Series 10, Series 9, Series 4, Series 24, Series 63 and Series 65. April specializes in providing financial advice and services to individuals, corporations, pension plans, and charitable organizations.
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
TX
08/22/2005 - Present
UBS Financial Services Inc. (THE WOODLANDS TX)
TX
12/07/2004 - 08/08/2005
TRADESTAR INVESTMENTS,INC. (HOUSTON TX)
TX
02/11/2003 - 08/08/2005
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
TX
04/04/1996 - 12/31/2002
TRADESTAR INVESTMENTS,INC. (HOUSTON TX)
NA
03/04/1996 - 03/26/1996
TRADESTAR INVESTMENTS,INC.
TX
08/09/1995 - 03/11/1996
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
IA
Issued 03/12/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/11/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/14/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/06/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/17/2004
Series 4 - Registered Options Principal Examination
BC
Issued 07/07/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/1995
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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