Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ana? Claim Your ProfileAna Diaz is a registered investment advisor representative with UBS Financial Services Inc. Ana has been in the industry since 2004. Ana has held past positions with UBS INTERNATIONAL INC., and DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC. Ana is licensed to provide investment advice in the following states: Arizona, California, Connecticut, Florida, Hawaii, Illinois, Massachusetts, New Jersey, New York, Pennsylvania, Texas, and Virginia. Ana has the following licenses and certifications: Series 66, Series 7, Series 9, Series 10 and SIE. Ana currently works in the San Francisco office of UBS Financial Services Inc. Ana is a highly experienced financial advisor who has been helping individuals and families achieve their financial goals for over 20 years. Ana provides a variety of financial services, including financial planning, portfolio management, and investment advice. Ana is committed to providing her clients with personalized service and a comprehensive understanding of their financial needs.
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
CA
01/01/2010 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
NY
08/12/2005 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
FL
12/11/2003 - 07/13/2005
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC (MIAMI FL)
BOTH
Issued 07/19/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/12/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/06/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2003
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
Not sure Ana Diaz is the right advisor for you? Invested Better is here to help.
