Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis x? Claim Your ProfileFrancis X O'Connor is a financial advisor who has been in the industry since March 21, 1991. Francis X O'Connor is currently registered with UBS Financial Services Inc. Francis X O'Connor is also a registered investment advisor, with a focus on providing financial planning, pension consulting, educational seminars, and portfolio management services to individuals, businesses, and charitable organizations. Francis X O'Connor has been with UBS Financial Services Inc. since February 2011. Prior to joining UBS Financial Services Inc., Francis X O'Connor was registered with UBS SECURITIES LLC. Francis X O'Connor is licensed to provide securities and investment advisory services in all states.
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
NJ
04/19/2011 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NJ
11/28/2012 - 03/17/2020
UBS SECURITIES LLC (WEEHAWKEN NJ)
NJ
03/02/2009 - 02/14/2011
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
NY
03/13/1991 - 03/06/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 04/07/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/26/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/21/1979
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
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Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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