Sean William Hardy

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → Present
  Ubs Financial Services Inc
  Cleveland, OH

Previous Registrations

• 2005-10-14 → 2007-02-09
  Keybanc Capital Markets Inc.
  Beachwood, OH
  Beachwood, OH

Other Businesses

RUTH E. HOPKINS IRREVOCABLE TRUST /WESTLAKE, OHIO 44145-3551 / TRUST / OTHER THIS IS A TRUST - QUESTION DOES NOT APPLY / NONE / IS THIS AN INDUSTRY SECTOR ORGANIZATION? N/A / TRUSTEE / ALL STATED TRUSTEE FUNCTIONS / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 06/04/2003.

Exams

• S66 Uniform Combined State Law Examination
  1998-10-30

Other Names

• Sean W Handy