Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hanford? Claim Your ProfileHanford Mau is a financial professional with over 14 years of experience in the industry. Hanford currently holds a position at Oppenheimer & Co. Inc. as a registered representative, working in the Stamford branch. Previously, Hanford has held roles with J.P. MORGAN SECURITIES LLC, UBS FINANCIAL SERVICES INC. and UBS SECURITIES LLC. Hanford is licensed to provide financial advice in Connecticut, New York, and Pennsylvania.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
09/10/2020 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
NY
08/14/2017 - 09/17/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NJ
10/01/2008 - 05/01/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/28/2007 - 10/21/2008
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 10/03/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 11/02/2020
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2007
Series 7 - General Securities Representative Examination
Active
Inactive
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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