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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Mineo is a financial advisor with UBS Financial Services Inc. located in Las Vegas, Nevada. Sam has been in the financial industry since May 1999. Sam is registered with the state of Nevada as an Investment Advisor Representative and with the state of Texas as a Resident Investment Advisor Representative. Sam is also registered with FINRA. Sam has passed the Series 63, Series 65, Series 7 and SIE exams. Sam has experience working at Salomon Smith Barney Inc, UBS Paine Webber Inc, WM Financial Services, Inc and ZIONS DIRECT, INC. Sam is a member of the UNLV Rebel Football Foundation. Sam has specializations in various financial areas, including fixed income, equity, mutual funds, options, and variable annuities.
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
NV
11/27/2017 - Present
UBS Financial Services Inc. (LAS VEGAS NV)
NV
05/24/2007 - 03/21/2014
ZIONS DIRECT, INC. (LAS VEGAS NV)
CA
04/16/2002 - 06/07/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
05/14/2001 - 01/04/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
05/07/1999 - 05/24/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
IA
Issued 12/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/1999
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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