Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adrian? Claim Your ProfileAdrian Crespo is a financial advisor in Houston, TX, who has been in the industry since March 1999. Adrian currently works for UBS Financial Services Inc., where they have been employed since January 2010. Adrian has also worked for UBS International Inc., UBS PaineWebber Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They are registered to offer investment advisory services in several states, including California, Connecticut, Florida, Minnesota, New York, and Texas. Adrian holds various securities licenses, including Series 3, Series 7, and Series 66. They are a Registered Representative with FINRA and is active in both broker-dealer and investment advisor capacities. Adrian specializes in providing financial advice and portfolio management for a range of client types, including individuals, businesses, corporations, charitable organizations, and high-net-worth individuals. They are also involved in estate planning and account supervision, with a focus on helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
01/01/2010 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
06/03/2002 - 01/01/2010
UBS INTERNATIONAL INC. (HOUSTON TX)
NJ
01/28/2000 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
03/09/1999 - 02/01/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/14/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2004
Series 3 - National Commodity Futures Examination
BC
Issued 03/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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