John
O'Connor

Ubs Financial Services Inc

CRD#866829
Investment Advisor
in Peabody, MA

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About this Advisor

John O'Connor is a financial advisor based out of Peabody, Massachusetts, with a total of 11 years of experience as a financial advisor. O'Connor is an advisor for Ubs Financial Services Inc. Over the course of their career, they have held roles at Barclays Capital Inc and Ubs Financial Services Inc. O'Connor holds Series 63 and Series 66 licenses, qualifying them as a securities representative, and is registered to serve investors in Texas. Ubs Financial Services Inc is an advisory business operating out of Peabody, Massachusetts. The investment advisory business has offices in 369 locations and a total of 13,335 employees. It has $496 billion in assets under management among its 957,738 accounts, placing it among the biggest investment advisory firms in the nation by assets under management. The firm serves 4,771 charitable organizations. Of its 957,738 accounts, 56% belong to high-net-worth clients who have greater than $1 million in investable assets. The company performs a number of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. Financial advisory fees vary depending on which services the firm provides the client. However, fee types charged by Ubs Financial Services Inc can be comprised of any combination of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 66

Years of Experience

12 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

No

Office Location

8 Essex Center Drive 2Nd Floor
Peabody, MA 01960

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,034,949,376

MA Average: $10,121,009,343
Total Number of Employees

13,335

MA Average: 92
Total Number of Accounts

957,738

MA Average: 6,978
Average Account Size

$517,923

MA Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

John O'Connor Work History

John has 12 years of experience.

2010 - Present (10 years)

Ubs Financial Services Inc

2008 - 2010 (2 years)

Barclays Capital Inc

Disclosures

John O'Connor has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Magda Malinowski
Chicago, IL
Nicole Hiller
Wayzata, MN
Heather Steggall
Birmingham, MI
Christopher Albanese
Weehawken, NJ
Danyi Gu
San Francisco, CA
Anita Humphrey
Clearwater, FL
Kimberly Sampson
Fort Lauderdale, FL
Jordan Winterfeld
Houston, TX

This content was compiled from the SEC and FINRA.

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