Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alberto? Claim Your ProfileAlberto Rafuls is an investment advisor representative registered with UBS Financial Services Inc. Alberto has been in the securities industry since November 9, 1986. Alberto's professional experience includes previous roles at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and BANK OF AMERICA,NA. Alberto holds licenses for Series 63, Series 65, Series 7, Series 15 and SIE. Alberto is currently registered in Arizona, Arkansas, California, Delaware, Florida, Illinois, Indiana, Maryland, Michigan, New Jersey, New York, North Carolina, Pennsylvania, Texas, and Virginia.
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
FL
02/26/2016 - Present
UBS Financial Services Inc. (Fort Lauderdale FL)
FL
01/02/1990 - 02/29/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LAUDERDALE FL)
NY
11/11/1985 - 01/02/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/29/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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