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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 Luis Rivera cruz is a financial advisor with over 18 years of experience in the financial services industry. Juan Luis is currently registered with UBS Financial Services Inc. in Florida. Juan Luis has also been previously registered with CITI INTERNATIONAL FINANCIAL SERVICES LLC, MML INVESTORS SERVICES, LLC, and MORGAN STANLEY DW INC. in Florida and Puerto Rico. Juan Luis holds multiple securities licenses, including Series 63, 65, 66, 7, 9, 10, 24, and 31. Juan Luis has a strong background in financial planning, portfolio management, and investment advisory services.
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
10/16/2024 - Present
UBS Financial Services Inc. (Miami FL)
FL
02/01/2016 - 07/30/2021
CITI INTERNATIONAL FINANCIAL SERVICES LLC (MIAMI FL)
PR
09/15/2014 - 01/13/2016
MML INVESTORS SERVICES, LLC (HATO REY PR)
PR
01/06/1998 - 10/04/2006
MORGAN STANLEY DW INC. (HATO REY PR)
BOTH
Issued 03/29/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/26/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/12/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/25/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/20/1998
Series 31 - Futures Managed Funds Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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