Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Alfredo Luna is a financial advisor with RBC Capital Markets, LLC based in Beverly Hills, CA. Luis has been in the industry since 1993 and holds Series 7, 63, and 66 licenses. Before joining RBC Capital Markets, LLC, Luis was previously employed by UBS Financial Services Inc., Deutsche Bank Securities Inc., DB Alex. Brown LLC, and Wedbush Morgan Securities Inc.. Luis is registered to provide investment advisory services in 48 states and provides services to individuals, corporations, charitable organizations, pension and profit sharing plans, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
02/08/2012 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
CA
01/02/2009 - 12/08/2011
UBS FINANCIAL SERVICES INC. (CENTURY CITY CA)
CA
01/13/2001 - 01/29/2009
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
MD
04/12/2000 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
CA
11/27/1992 - 06/14/2000
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
BOTH
Issued 03/20/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1992
Series 7 - General Securities Representative 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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