Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Arturo Pou is a financial advisor with UBS Financial Services Inc. Carlos has been a registered representative since 1990 and has held registrations with numerous other firms throughout their career. Carlos specializes in a variety of investment areas including portfolio management for individuals and businesses, financial planning and pension consulting. Carlos has a broad range of experience in the financial services industry and holds Series 63, Series 66, Series 7 and SIE licenses.
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
PR
07/13/2018 - Present
UBS Financial Services Inc. (PUERTO NUERVO PR)
PR
04/26/2001 - 08/28/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
MA
01/07/1997 - 04/24/2001
SANTANDER SECURITIES (BOSTON MA)
PR
04/01/1996 - 10/10/1996
RIZEK INVESTMENTS (HATO REY PR)
FL
09/28/1995 - 04/17/1996
R.K. GRACE & CO. (MIAMI FL)
PR
02/28/1991 - 08/31/1995
PAINEWEBBER INCORPORATED OF PUERTO RICO (HATO REY PR)
NJ
11/21/1990 - 08/31/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 07/29/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/03/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1990
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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