Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Alberto Lozano is a financial advisor who has been in the industry since 1991. Carlos currently works for UBS Financial Services Inc. and previously worked for firms such as UBS International Inc., UBS PaineWebber Inc., Chase Securities of Texas, Inc., Investment Professionals, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Carlos specializes in providing financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars. Carlos is registered in Florida, Texas, and Wisconsin.
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
TX
01/01/2010 - Present
UBS Financial Services Inc. (MCALLEN TX)
TX
06/03/2002 - 01/01/2010
UBS INTERNATIONAL INC. (MCALLEN TX)
NJ
03/30/2001 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
TX
05/21/1998 - 03/30/2001
CHASE SECURITIES OF TEXAS, INC. (HOUSTON TX)
TX
04/08/1994 - 05/15/1998
INVESTMENT PROFESSIONALS, INC. (SAN ANTONIO TX)
NY
10/28/1992 - 10/26/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
FL
03/27/1991 - 09/29/1992
MOWELL FINANCIAL GROUP, INC. (TALLAHASSEE FL)
BC
Issued 03/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/1991
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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