Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karina? Claim Your ProfileKarina Rodriguez is a financial advisor with UBS Financial Services Inc. Karina has been in the financial industry since 2007. Karina is licensed to provide financial advice in the following states: California, Connecticut, Florida, Idaho, Illinois, Louisiana, Maine, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Texas, Vermont, Virginia, and Washington. Karina has also completed Series 6, Series 7, and Series 63 exams, as well as the Securities Industry Essentials (SIE) Exam. Karina is also registered as an investment advisor representative in the state of New York. Karina's previous employment includes JPMorgan Securities LLC and Chase Investment Services Corp.
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
11/19/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
10/01/2012 - 01/07/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
06/20/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (FREEPORT NY)
BC
Issued 06/29/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2017
Series 7 - General Securities Representative Examination
BC
Issued 06/19/2007
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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