Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Miguel Rivera is an Investment Advisor Representative with UBS Financial Services Inc. and has been in the industry since June 17, 1985. Jose Miguel Rivera works in the Sarasota, FL branch office and has previously worked with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc.
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
02/06/2009 - Present
UBS Financial Services Inc. (SARASOTA FL)
NY
04/02/2007 - 01/14/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
09/24/1986 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NA
06/18/1985 - 10/10/1986
IDS MARKETING CORPORATION
IA
Issued 08/29/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/26/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/1989
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1985
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
Not sure Jose Rivera is the right advisor for you? Invested Better is here to help.
