Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Louise Lopez is a financial advisor with UBS Financial Services Inc. in Coral Gables, Florida. Diana has been working in the financial services industry since 2009. Diana has a Series 7, 63, and 65 license and has been registered as a representative of UBS since 2018. Prior to joining UBS, Diana worked at HSBC Securities (USA) Inc., where she was a registered representative for over eight years. Diana has a variety of experience in the financial services industry, including providing financial planning, investment advice, and portfolio management services. Diana specializes in working with high-net-worth individuals, corporations, and other businesses.
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
04/23/2018 - Present
UBS Financial Services Inc. (Coral Gables FL)
FL
03/17/2009 - 10/26/2017
HSBC SECURITIES (USA) INC. (MIAMI FL)
IA
Issued 03/29/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2009
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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