Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos R. Ponce is a financial advisor who has been working in the industry since November 6, 2012. Carlos is currently registered with UBS Financial Services Inc. as a registered representative and an investment advisor representative. Carlos has been with UBS Financial Services Inc. since February 2016. Prior to that, Carlos was with Credit Suisse Securities (USA) LLC from July 2015 to March 2016, and Northwestern Mutual Investment Services, LLC from February 2013 to July 2015. Carlos is registered to provide financial advice in 28 states. Carlos holds Series 7, Series 63 and Series 66 licenses. Carlos specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and publication of periodicals.
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
IL
04/25/2016 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
10/02/2015 - 03/08/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
IL
02/06/2013 - 07/28/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SKOKIE IL)
IL
12/14/2010 - 05/18/2011
GELBER SECURITIES, LLC (CHICAGO IL)
BOTH
Issued 4/25/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 4/1/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2010
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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