Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudia? Claim Your ProfileClaudia Munoz is a financial advisor with UBS Financial Services Inc. Claudia has over 30 years of experience in the financial services industry and holds Series 7, 31, 63 and 65 licenses. Claudia has a strong track record of providing financial advice to individuals, families, and businesses. Claudia is registered to provide financial services in California, Delaware, Florida, Georgia, Hawaii, Indiana, Kansas, Massachusetts, Michigan, New Jersey, New York, North Carolina, Puerto Rico, South Dakota, Texas, and Virginia. Claudia is also registered as an Investment Advisor Representative in Florida and Texas. Claudia's prior experience includes working with UBS International Inc., Banc of America Investment Services, Inc., Wachovia Securities, Inc., and First Union Brokerage Services, Inc. Claudia is committed to providing her clients with the highest level of personalized service and financial advice.
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
12/08/2011 - Present
UBS Financial Services Inc. (MIAMI FL)
FL
02/27/2006 - 01/01/2010
UBS INTERNATIONAL INC. (MIAMI FL)
MA
02/25/2003 - 03/03/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MO
10/01/2000 - 03/25/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
01/01/1991 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 05/31/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/28/1990
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
Not sure Claudia Munoz is the right advisor for you? Invested Better is here to help.
