Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cecilia? Claim Your ProfileCecilia Corral has been working in the financial services industry since 1994. Cecilia is currently registered with UBS Financial Services Inc. in California as a Registered Representative. Previously, Cecilia worked for WELLS FARGO CLEARING SERVICES, LLC and WELLS FARGO INVESTMENTS, LLC. Cecilia has passed the Series 7, Series 10, Series 9, Series 63, Series 65, Series 99, and SIE exams. Cecilia is registered with the state of California as an Investment Advisor Representative and is authorized to offer securities and advisory services.
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
CA
03/31/2020 - Present
UBS Financial Services Inc. (SEAL BEACH CA)
CA
01/03/2011 - 01/27/2020
WELLS FARGO CLEARING SERVICES, LLC (LOS ANGELES CA)
CA
08/14/2002 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BEVERLY HILLS CA)
TX
08/03/1994 - 08/05/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 03/25/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/1994
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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