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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jorge? Claim Your ProfileJorge Lopez-balboa is a financial advisor with UBS Financial Services Inc. Jorge has been in the financial services industry since 1974 and has a wide range of experience. Jorge has held registrations with several firms throughout their career, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Dean Witter Reynolds Inc. Jorge holds Series 63, 65, and 66 licenses. Jorge currently provides financial services to clients in a number of states, including Texas, Florida, Delaware, and the District of Columbia.
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
DC
05/15/2023 - Present
UBS Financial Services Inc. (WASHINGTON DC)
NY
03/17/1981 - 01/08/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/02/1978 - 04/27/1981
DEAN WITTER REYNOLDS INC.
NA
01/06/1977 - 04/19/1978
DREXEL BURNHAM LAMBERT INCORPORATED
NA
09/27/1976 - 01/06/1977
DREXEL BURNHAM & CO. INCORPORATED
NA
09/18/1972 - 10/22/1976
LOEB RHOADES & CO
NA
05/31/1966 - 09/20/1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BOTH
Issued 10/08/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/1977
Series 40 - Registered Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2009
Series 7 - General Securities Representative Examination
BC
Issued 02/09/1977
PC - AMEX Put and Call Exam
BC
Issued 05/27/1966
Series 1 - Registered 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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