Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kelvin? Claim Your ProfileKelvin Arturo Pena is a financial advisor registered with UBS Financial Services Inc. Kelvin has been working in the financial services industry since June 2001. Kelvin holds Series 66, SIE and Series 7 licenses. Kelvin has been registered with UBS Financial Services Inc. since January 2010. Kelvin specializes in providing financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, and portfolio management for individuals. Kelvin has a strong track record of helping clients reach their financial goals.
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
01/01/2010 - Present
UBS Financial Services Inc. (CORAL GABLES FL)
FL
06/03/2002 - 01/01/2010
UBS INTERNATIONAL INC. (CORAL GABLES FL)
NJ
06/06/2001 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 04/30/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2001
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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