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CARLOS ALBERTO TOVAR
CARLOS A TOVAR
CRD#: 5742753
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 S.E. 2ND STREET
25th
MIAMI, FL 33131
Registration History
2010201220142016201820202022202420262 FIRMS2018 - 2018 (<1 year)2 FIRMS2018 - Present (6 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2018 (5 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2016 - 2018 (1 year)
License(s)

State Registrations

B
Arizona 1/24/2020

B
New Jersey 1/24/2020

B
California 7/24/2018

B
New York 7/24/2018

B
Colorado 1/24/2020

B
Ohio 8/1/2018

B
Delaware 1/24/2020

B
Puerto Rico 1/24/2020

B
District of Columbia 9/9/2021

B
South Dakota 9/9/2021

B
Florida 7/24/2018

B
Texas 1/24/2020

IA
Florida 7/25/2018

B
Virginia 8/1/2018

B
Illinois 7/24/2018

B
Washington 1/6/2025

B
Massachusetts 1/24/2020

B
Wyoming 8/10/2018

B
Minnesota 1/24/2020

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

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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)
100 S.E. 2ND STREET 25th, MIAMI, FL 33131
Registered with this firm since 7/25/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 S.E. 2ND STREET 25th, MIAMI, FL 33131
Registered with this firm since 7/24/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/11/2018 - 04/16/2018 LEUMI INVESTMENT SERVICES INC. (CRD#:105387) AVENTURA, FL
B
01/10/2018 - 04/16/2018 LEUMI INVESTMENT SERVICES INC. (CRD#:105387) AVENTURA, FL
IA
03/07/2016 - 01/09/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) HOMESTEAD, FL
B
10/01/2012 - 01/09/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) HOMESTEAD, FL
B
01/08/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MIAMI, FL
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B
Broker
IA
Investment Adviser
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.