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Detailed Report
LUIS RUBEN UGALDE
CRD#: 5906400
IA
Investment Adviser
B
Broker
PRIMERICA ADVISORSCRD#: 10111 13798 NW 4TH ST
STE 305U
SUNRISE, FL 33325
Registration History
20062008201020122014201620182020202220242026IAPRIMERICA ADVISORS (CRD# 10111)2012 - Present (12 years)BPFS INVESTMENTS INC. (CRD# 10111)2011 - Present (13 years)
Disclosure(s)
View By:
12/23/2024
Judgment / Lien
7/29/2022
Judgment / Lien
7/22/2022
Judgment / Lien
10/3/2006
Judgment / Lien
License(s)

State Registrations

B
Florida 6/2/2011
IA
Texas 1/31/2019
IA
Florida 12/5/2012
B
Virginia 10/30/2024
B
Texas 5/9/2016

SRO Registrations

B
 FINRA

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
PRIMERICA ADVISORS (CRD#:10111)
13798 NW 4TH ST STE 305U, SUNRISE, FL 33325
Registered with this firm since 12/5/2012
B
PFS INVESTMENTS INC. (CRD#:10111)
13798 NW 4TH ST STE 305U, SUNRISE, FL 33325
Registered with this firm since 5/2/2011
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.