Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Manuel Raimundo is a financial advisor with UBS Financial Services Inc. Carlos has over 28 years of experience in the financial services industry. Carlos holds Series 7, 63, and 65 licenses and is registered in 18 states. Prior to joining UBS Financial Services Inc., Carlos was employed at Oppenheimer & Co. Inc., CIBC World Markets Corp., and Fidelity Brokerage Services, Inc. Carlos provides financial planning, portfolio management, and pension consulting services to individual and business clients. Carlos specializes in providing financial services to high-net-worth individuals, corporations, and charitable organizations.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
01/03/2003 - 07/20/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
07/18/1997 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
RI
12/09/1992 - 04/04/1996
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
Issued 11/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1992
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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