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Carlos Valverde Duran
CRD#: 7411592
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SE 2ND STREET
27TH FLOOR
MIAMI, FL 33131
Registration History
2021202220232024202520262 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Delaware 10/7/2021

IA
Florida 8/12/2021

B
Florida 8/11/2021

B
North Carolina 9/23/2024

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)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 8/12/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 8/11/2021

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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.