Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Henriette? Claim Your ProfileHenriette Isabella O'Connor is a financial advisor with UBS Financial Services Inc. located in Purchase, New York. Henriette has been in the financial industry since 1987. Henriette is registered in multiple states, including California, Connecticut, Florida, New Jersey, and New York. Henriette has experience working at several firms, including MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, PAINEWEBBER INCORPORATED, SMITH BARNEY INC., KIDDER, PEABODY & CO. INCORPORATED, TRAVELERS EQUITIES SALES, INC., USLIFE EQUITY SALES CORP., and NEUBERGER & BERMAN.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (Purchase NY)
NY
03/11/1997 - 02/21/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WHITE PLAINS NY)
NJ
05/18/1996 - 03/14/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
11/30/1993 - 02/09/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
06/28/1993 - 12/02/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
CA
05/07/1992 - 03/26/1993
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
CA
05/16/1988 - 05/10/1990
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
NY
09/04/1987 - 05/03/1988
USLIFE EQUITY SALES CORP. (NEW YORK NY)
NA
05/22/1984 - 08/01/1987
NEUBERGER & BERMAN
BC
Issued 07/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
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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