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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Hardy is a financial advisor with UBS Financial Services Inc. with over 25 years of experience in the financial services industry. Sean has a wide range of experience in providing investment advice and financial planning services. Sean has worked for several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, and McDonald Investments Inc. Sean is registered to offer securities and investment advisory services in 27 states. Sean is a registered representative with FINRA and holds the Series 66, Series 7 and SIE exams.
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
OH
02/28/2007 - Present
UBS Financial Services Inc. (CLEVELAND OH)
OH
03/16/2001 - 02/09/2007
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NY
10/15/1998 - 06/14/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/30/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1998
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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