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 Tovar is an investment advisor representative at UBS Financial Services Inc. Carlos has been in the industry since 2010. Carlos has passed the Series 6, Series 7 and Series 66 exams and is registered in 17 states and the District of Columbia. Carlos is also a Registered Representative of UBS Financial Services 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
07/25/2018 - Present
UBS Financial Services Inc. (MIAMI FL)
FL
01/10/2018 - 04/16/2018
LEUMI INVESTMENT SERVICES INC. (AVENTURA FL)
FL
10/01/2012 - 01/09/2018
J.P. MORGAN SECURITIES LLC (HOMESTEAD FL)
FL
01/08/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MIAMI FL)
BOTH
Issued 02/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2016
Series 7 - General Securities Representative Examination
BC
Issued 01/07/2010
Series 6 - Investment Company Products/Variable Contracts 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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