Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julio? Claim Your ProfileJulio Antonio Leaty is a financial advisor who has been in the industry for over 30 years. Julio is currently registered with UBS Financial Services Inc. Julio has held prior registrations with VALIC Financial Advisors, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Julio holds licenses for Series 63, 65, 7, 8, 9, 10 and 23, and SIE. Julio specializes in providing financial advice and services to a broad range of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and insurance companies. Julio focuses on providing personalized financial planning, portfolio management, and investment management 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
NY
06/23/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NJ
10/24/2012 - 04/30/2015
VALIC FINANCIAL ADVISORS, INC. (BEDMINSTER NJ)
NY
10/08/1990 - 02/13/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/07/2006
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 04/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1990
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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