Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gerard? Claim Your ProfileGerard Soriano jr. is a financial advisor with over 25 years of experience in the industry. Gerard is currently registered with UBS Financial Services Inc. in California and Texas. Gerard has previously worked with J.P. MORGAN SECURITIES INC., HAMBRECHT & QUIST LLC, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Gerard holds the Series 7, Series 31, Series 63, and Series 65 licenses, along with the SIE exam.
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
08/18/2009 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
NY
02/01/2000 - 10/24/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
10/17/1997 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
08/23/1995 - 10/18/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/06/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/22/1995
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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