Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Abel Carbajal is a financial professional with over 10 years of experience in the financial services industry. Daniel is currently registered with UBS Financial Services Inc., and has been with the firm since April 2012. Prior to that, Daniel was employed with UBS Securities LLC and John Thomas Financial. Daniel holds multiple licenses and certifications including the Series 7, Series 9, Series 10, Series 63, Series 99TO and the SIE. Daniel is registered to offer securities in Tennessee.
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
NY
04/05/2012 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/26/2016 - 01/07/2019
UBS SECURITIES LLC (NEW YORK NY)
NY
11/10/2010 - 12/15/2010
JOHN THOMAS FINANCIAL (NEW YORK NY)
BC
Issued 11/23/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2021
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 11/09/2010
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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