Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ting? Claim Your ProfileTing O'Connor is a financial advisor with UBS Financial Services Inc. Ting has been in the financial industry since 1999. Prior to joining UBS, Ting worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Pyramid Financial Corp., Salomon Smith Barney Inc., and Pruco Securities Corporation. Ting is registered to provide investment advice in 22 states and has passed the Series 66, Series 7 and SIE exams. Ting specializes in providing financial advice to individuals, businesses, corporations, investment companies, insurance companies, charitable organizations, pension and profit sharing plans, high net worth individuals, and state or municipal government entities.
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
05/15/2023 - Present
UBS Financial Services Inc. (San Jose CA)
CA
12/15/2000 - 05/16/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
05/08/2000 - 08/10/2000
PYRAMID FINANCIAL CORP. (CUPERTINO CA)
NY
07/21/1999 - 05/11/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
12/23/1998 - 05/10/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 12/02/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/1998
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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