Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose mari? Claim Your ProfileJose Mari Cortez Asuncion is a financial advisor at UBS Financial Services Inc. Jose Mari has been in the financial industry since 2005. Jose Mari holds the Series 66, Series 7, Series 24, Series 99TO and SIE licenses. Jose Mari has worked at J.P. Morgan Securities LLC and Chase Investment Services Corp in the past.
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
NJ
09/07/2021 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
OH
10/01/2012 - 08/21/2021
J.P. MORGAN SECURITIES LLC (COLUMBUS OH)
OH
09/28/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (COLUMBUS OH)
OH
09/28/2005 - 07/27/2006
BANC ONE SECURITIES CORPORATION (COLUMBUS OH)
BOTH
Issued 03/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2005
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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