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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Juan? Claim Your ProfileJuan Carlos Giron vazquez is a financial advisor with UBS Financial Services Inc. Juan Carlos Giron vazquez has been in the industry since April 14, 2000, and has experience with a variety of financial products and services, including securities, investments, and insurance. Juan Carlos Giron vazquez has been registered with UBS International Inc. since May 14, 2004, and has been registered with UBS Financial Services Inc. since January 1, 2010. Juan Carlos Giron vazquez holds the Series 6, 7, 63, and 66 licenses.
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
TX
01/01/2010 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
05/14/2004 - 01/01/2010
UBS INTERNATIONAL INC. (HOUSTON TX)
NY
10/03/2003 - 05/24/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
02/14/2001 - 10/13/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
11/10/1998 - 09/10/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 12/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/09/1998
Series 6 - Investment Company Products/Variable Contracts 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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