Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Guzman is an investment professional with experience in the financial services industry. Jonathan has been active in the industry since November 13, 2013, and has held registrations with both the Securities and Exchange Commission (SEC) and various state regulatory bodies. Jonathan is currently registered as a Registered Representative (RR) in New Jersey, New York, and Texas with UBS Financial Services Inc.. Jonathan is a highly experienced and qualified investment professional, providing services such as financial planning, pension consulting, and portfolio management for both individuals and businesses. Jonathan's dedication to client service and commitment to ethical practices ensure that clients receive the best possible financial advice.
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
05/31/2019 - Present
UBS Financial Services Inc. (JERICHO NY)
NY
10/09/2013 - 03/18/2014
LAIDLAW & COMPANY (UK) LTD. (MELVILLE NY)
IA
Issued 05/19/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/2013
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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