Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hector? Claim Your ProfileHector William Laffitte-rossy is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. who has been in the industry since June 25, 1987. Hector is registered to provide investment advice in Texas and has a Series 65 license. Hector William Laffitte-rossy is also registered as a broker-dealer in 45 states and Puerto Rico. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Hector William Laffitte-rossy worked at UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. Hector William Laffitte-rossy has several designations, including the Series 7 and Series 10 licenses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
PR
11/29/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GUAYNABO PR)
PR
06/27/1991 - 07/31/2006
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
PR
06/26/1987 - 07/31/2006
UBS FINANCIAL SERVICES INC. (SAN JUAN PR)
IA
Issued 07/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/21/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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