Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carla? Claim Your ProfileCarla Cristina Roque is a registered representative with UBS Financial Services Inc. Carla has been in the securities industry since January 29, 2004. Carla is registered in Florida and Texas. Carla has passed the Series 7, Series 31, Series 66 and SIE exams. Carla specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting. Carla previously worked at UBS International Inc. from 2004 to 2010.
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
07/05/2022 - Present
UBS Financial Services Inc. (MIAMI FL)
FL
01/29/2004 - 01/01/2010
UBS INTERNATIONAL INC. (MIAMI FL)
BOTH
Issued 11/05/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 01/28/2004
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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