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RAUL SERRANO
RAUL SERRANO DIAZ
CRD#: 6608747
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 250 Munoz Rivera Avenue
San Juan, PR 00918
San Juan, PR 00918
0
Disclosures
9
Years of Experience
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State Registrations
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New Jersey 3/4/2020
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Puerto Rico 3/4/2020
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Puerto Rico 3/4/2020
SRO Registrations
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Registered with this firm since 3/4/2020
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Registered with this firm since 3/4/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/04/2020 - 10/26/2021 | HATO REY, PR | |
IA | 07/01/2019 - 02/21/2020 | SAN JUAN, PR | |
B | 05/31/2019 - 02/21/2020 | NEW YORK, NY | |
B | 02/08/2016 - 02/19/2020 | SAN JUAN, PR |
HATO REY, PR
03/04/2020 - 10/26/2021
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.