Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Munoz Jr. is a financial advisor with UBS Financial Services Inc. He has been in the financial services industry since December 22, 2005. Jose is registered with the state of New Mexico and holds licenses for both securities and investment advisory services. Jose has been working with UBS Financial Services Inc. since April 2022, but has previous experience with Morgan Stanley, Wells Fargo Clearing Services, LLC and Horwitz & Associates, Inc. Jose specializes in providing a range of financial services, including investment management, financial planning, and pension consulting.
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
NM
04/11/2022 - Present
UBS Financial Services Inc. (Albuquerque NM)
NM
07/20/2018 - 03/30/2022
MORGAN STANLEY (Albuquerque NM)
FL
12/22/2008 - 06/27/2018
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
IL
03/07/2008 - 01/21/2009
MORGAN STANLEY & CO. INCORPORATED (BARRINGTON IL)
IL
11/23/2005 - 03/19/2008
HORWITZ & ASSOCIATES, INC. (RIVERWOODS IL)
BOTH
Issued 02/03/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/08/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/16/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/24/2007
Series 4 - Registered Options Principal Examination
BC
Issued 02/02/2007
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 11/22/2005
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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