Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Ortiz is a financial advisor with over 30 years of experience in the industry. Carlos is currently registered with UBS Financial Services Inc. and is located in San Juan, Puerto Rico. Carlos is also registered in Florida and has a wide range of experience in the industry. Carlos specializes in providing a range of financial services including financial planning, pension consulting, and educational seminars. Carlos is committed to providing his clients with the highest level of service and expertise.
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
06/03/2003 - Present
UBS Financial Services Inc. (SAN JUAN PR)
PR
06/03/2003 - 08/28/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
PR
12/10/1985 - 05/13/2003
POPULAR SECURITIES, INC. (SAN JUAN PR)
NY
09/24/1985 - 05/24/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
BOTH
Issued 09/19/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/18/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/17/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/16/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 09/03/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/21/1985
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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