Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Allen is an investment advisor representative associated with UBS Financial Services Inc. located in Florham Park, NJ. Sean has worked in the financial services industry since December 2013 and holds Series 3, 7, 65, and 66 licenses. Sean was previously registered with Fidelity Brokerage Services LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Sean's experience includes working at Ernst & Young LLP and serving as a soccer coach in multiple locations. Sean also has a strong background in financial planning and portfolio management.
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
09/29/2021 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
01/02/2020 - 09/09/2021
FIDELITY BROKERAGE SERVICES LLC (MILLBURN NJ)
NJ
06/13/2018 - 12/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
BOTH
Issued 07/30/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/05/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2018
Series 7 - General Securities Representative Examination
BC
Issued 06/15/2013
Series 3 - National Commodity Futures 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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