Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Anthony is an investment advisor representative with UBS Financial Services Inc. Sean Anthony has 19 years of experience in the securities industry. Sean Anthony is registered with the state of California. Sean Anthony is also registered with the state of Texas as an Investment Advisor Representative. Sean Anthony has passed the Series 6, 7, 63, and 66 exams. Sean Anthony works with clients in the San Diego area.
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
CA
11/14/2022 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
01/15/2016 - 10/09/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
CA
01/03/2011 - 11/24/2015
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
10/30/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/15/2008 - 11/03/2009
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
CA
08/09/2004 - 09/18/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (CARLSBAD CA)
BOTH
Issued 02/28/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/08/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/2009
Series 7 - General Securities Representative Examination
BC
Issued 08/07/2004
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
Not sure Sean Anthony is the right advisor for you? Invested Better is here to help.
