Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ana? Claim Your ProfileAna Gernhardt -diaz is a financial advisor with UBS Financial Services Inc. Ana has been in the industry since December 2001. Ana is a licensed and registered representative with FINRA, holding a Series 7, 9, 10, 66, and SIE license. Ana provides a variety of financial services including portfolio management for individuals and businesses. Ana currently works out of the UBS Financial Services Inc. branch office located in Coral Gables, Florida and the Weehawken, New Jersey branch. Ana previously worked with UBS International Inc. and UBS Paine Webber Inc.
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
01/01/2010 - Present
UBS Financial Services Inc. (CORAL GABLES FL)
NY
06/03/2002 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
12/10/2001 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 05/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/02/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/20/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2001
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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