Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean R. Carter is a financial advisor with UBS Financial Services Inc. located in Mt. Laurel, NJ. Sean Carter has been in the industry for over 13 years. Sean Carter has earned the Series 6, 7, and 66 licenses. UBS Financial Services Inc. is a well-established firm with a large client base. Sean Carter specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations. Sean Carter also offers educational seminars on various financial topics.
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
09/26/2024 - Present
UBS Financial Services Inc. (MT. LAUREL NJ)
NJ
09/09/2009 - 09/27/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MT. LAUREL NJ)
NJ
05/01/2009 - 08/10/2009
PRUCO SECURITIES, LLC. (MARLTON NJ)
BOTH
Issued 12/02/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2009
Series 7 - General Securities Representative Examination
BC
Issued 04/29/2009
Series 6 - Investment Company Products/Variable Contracts 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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