Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Rivera is a financial advisor at UBS Financial Services Inc. Carmen has been working in the financial services industry since 1996, and is registered with FINRA, the Securities Investor Protection Corporation (SIPC), and the state of Florida. Carmen has experience working with a variety of clients, including individuals, families, businesses, and institutions. Carmen also has experience with retirement planning, investment management, and estate planning.
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
FL
06/10/2009 - Present
UBS Financial Services Inc. (Winter Park FL)
FL
07/28/2006 - 05/20/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ORLANDO FL)
FL
05/24/2006 - 06/22/2006
UBS FINANCIAL SERVICES INC. (PALM BEACH FL)
NY
06/03/2002 - 05/26/2006
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
06/12/1996 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 11/01/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 06/11/1996
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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