Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Olivia? Claim Your ProfileOlivia Sullivan is a financial advisor at UBS Financial Services Inc.. Olivia has been in the industry since August 1, 2017 and is registered in 53 states and two provinces for both securities and investment advisory services. Olivia is also a Series 9, 10, 24, 63 and 66 licensed professional and has passed the SIE exam. Previously Olivia was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Olivia works with individual clients, high-net-worth individuals, businesses, corporations, charitable organizations, pension and profit sharing plans, and insurance companies.
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
10/14/2021 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NJ
07/19/2017 - 09/29/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
BOTH
Issued 08/07/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/10/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/21/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/23/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2017
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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