Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Holly? Claim Your ProfileHolly Hendrix is a financial professional with over 40 years of experience in the industry. Holly is currently registered with UBS Financial Services Inc. and has previously worked for several other firms including MAYFAIR SECURITIES, INC., KIDDER, PEABODY & CO. INCORPORATED, MARKET TRENDS AND TIMING, SHEARSON/AMERICAN EXPRESS INC., BEAR, STEARNS & CO., A. G. BECKER INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Holly holds several licenses and registrations including Series 7, Series 4, Series 5, Series 63, Series 65, and Series 15. Holly is also a Registered Options Principal and has passed the Securities Industry Essentials Examination.
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
04/10/1985 - Present
UBS Financial Services Inc. (NEW YORK NY)
NA
11/29/1984 - 03/06/1985
MAYFAIR SECURITIES, INC.
NA
03/21/1984 - 04/12/1984
KIDDER, PEABODY & CO. INCORPORATED
NA
12/08/1983 - 03/13/1984
MARKET TRENDS AND TIMING
NA
01/31/1983 - 12/16/1983
SHEARSON/AMERICAN EXPRESS INC.
NA
10/11/1979 - 06/22/1981
BEAR, STEARNS & CO.
NA
11/15/1978 - 09/17/1979
A. G. BECKER INCORPORATED
NA
09/26/1978 - 12/13/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
04/21/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 09/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/1982
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1997
Series 15 - Foreign Currency Options Examination
BC
Issued 06/06/1997
Series 5 - Interest Rate Options Examination
BC
Issued 04/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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