Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucia? Claim Your ProfileLucia Mercedes Valdes is a registered representative with UBS Financial Services Inc. Lucia has been in the industry since 2001, and has experience with Ameriprise Financial Services, Inc., Stanchart Securities International, Inc., and UBS International Inc. Lucia has Series 7 and SIE licenses. Lucia is registered in Florida and Colorado. Lucia specializes in investment advisory services, financial planning, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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. (Miami FL)
NY
05/01/2009 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
FL
02/29/2008 - 04/15/2009
STANCHART SECURITIES INTERNATIONAL, INC. (MIAMI FL)
MN
09/06/2001 - 09/30/2005
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2001
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
Not sure Lucia Valdes is the right advisor for you? Invested Better is here to help.
