Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ana? Claim Your ProfileAna Margarita Herce is a financial advisor currently registered with Morgan Stanley and has been in the industry since 2003. Ana has a Series 7, Series 3, Series 9, Series 10, Series 24, Series 66, and Series 99TO license. Ana previously held registrations with WELLS FARGO CLEARING SERVICES, LLC, ITAU INTERNATIONAL SECURITIES INC., UBS FINANCIAL SERVICES INC., UBS INTERNATIONAL INC., and LASALLE FINANCIAL SERVICES, INC. Ana holds a Bachelor of Science degree in Business Administration from the University of Miami. Ana specializes in providing financial advice to individuals, high-net-worth individuals, corporations, and businesses. Ana is also a licensed real estate broker.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/05/2021 - Present
Morgan Stanley (Miami FL)
FL
08/30/2016 - 03/25/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
FL
12/11/2014 - 08/12/2016
ITAU INTERNATIONAL SECURITIES INC. (MIAMI FL)
FL
01/01/2010 - 11/19/2014
UBS FINANCIAL SERVICES INC. (CORAL GABLES FL)
FL
05/01/2009 - 01/01/2010
UBS INTERNATIONAL INC. (CORAL GABLES FL)
FL
05/07/2001 - 06/11/2007
LASALLE FINANCIAL SERVICES, INC. (MIAMI FL)
BOTH
Issued 07/07/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/28/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/23/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2011
Series 3 - National Commodity Futures Examination
BC
Issued 05/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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