Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hector? Claim Your ProfileHector Manuel Mercado is a financial advisor with UBS Financial Services Inc. based in Miami, Florida. Hector has been in the financial industry since 1993. Hector holds a Series 7, Series 9, Series 10, and Series 63 license. Hector is registered with FINRA and the state of Florida. Prior to joining UBS Financial Services Inc., Hector was a financial advisor with UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, POPULAR SECURITIES, INC., MARKETING ONE SECURITIES, INC., PAINEWEBBER INCORPORATED, SMITH BARNEY SHEARSON INC., and LEHMAN BROTHERS INC.. Hector is experienced in a wide range of financial services, including portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Hector is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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
05/03/1999 - Present
UBS Financial Services Inc. (MIAMI FL)
PR
05/21/1999 - 11/24/2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
PR
05/21/1997 - 05/12/1999
POPULAR SECURITIES, INC. (SAN JUAN PR)
OR
10/17/1995 - 05/21/1997
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NJ
10/28/1993 - 09/12/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/31/1993 - 09/24/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
11/23/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 12/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/31/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1992
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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