Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Vazquez is a financial professional with over six years of experience in the industry. Carlos is currently registered with UBS Securities LLC, and has previously held positions with UBS Financial Services Inc. and Samuel A Ramirez & Co., Inc. Carlos holds multiple licenses including Series 79TO, SIE and Series 52. Carlos is licensed in all 50 states and the District of Columbia.
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.
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.
1
2
NY
05/19/2021 - Present
UBS Securities LLC (New York NY)
NY
08/08/2017 - 05/19/2021
UBS FINANCIAL SERVICES INC. (New York NY)
NY
02/02/2017 - 08/01/2017
SAMUEL A RAMIREZ & CO., INC. (NEW YORK NY)
BC
Issued 10/02/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/03/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2017
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE National, Inc.
N
New York Stock Exchange
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