Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Daley is a financial advisor with UBS Financial Services Inc. Sean is licensed to offer investment advice in multiple states. Sean has been in the securities industry since 2002. Sean has been with UBS Financial Services Inc. since 2012. Prior to joining UBS Financial Services Inc. Sean worked for Morgan Stanley Smith Barney. Sean holds the Series 7, Series 31 and SIE licenses.
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
FL
07/16/2012 - Present
UBS Financial Services Inc. (STUART FL)
FL
06/01/2009 - 08/01/2012
MORGAN STANLEY SMITH BARNEY (STUART FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (STUART FL)
FL
09/26/2002 - 04/02/2007
MORGAN STANLEY DW INC. (STUART FL)
BOTH
Issued 10/21/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 09/25/2002
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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