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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph a.? Claim Your ProfileJoseph a. Anthony Senna is an active investment advisor representative (IAR) with UBS Financial Services Inc. located in Walnut Creek, CA. Joseph a. Anthony Senna has been in the financial industry since March 18, 1992. Joseph a. Anthony Senna has previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and DEAN WITTER REYNOLDS INC. Joseph a. Anthony Senna has a wide range of licenses and certifications including Series 3, 7, 9, 10, 31, 63, 65 and 66, and is registered in multiple 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
CA
10/01/2019 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
07/23/1999 - 11/24/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WALNUT CREEK CA)
NY
03/19/1992 - 07/26/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 08/01/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/02/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/13/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/12/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1992
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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