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Detailed Report
RAYMOND N. VALDIVIA
Raymond Nathan Valdivia
CRD#: 5102598
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE NORTH WACKER DRIVE
STE 3300
CHICAGO, IL 60606
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2014 - 2016 (1 year)
License(s)

State Registrations

B
Arizona 5/16/2024
IA
Illinois 9/25/2017
B
Illinois 3/20/2017

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Registered with this firm since 9/25/2017
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE NORTH WACKER DRIVE STE 3300, CHICAGO, IL 60606
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Registered with this firm since 3/17/2017
Previous Registration(s)
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B
 09/06/2014 - 06/24/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.