Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Ausberto Guerrero is a financial advisor with Raymond James & Associates, Inc. Luis is a registered representative and investment advisor representative with over 15 years of experience in the financial services industry. Luis holds Series 6, 7, 63, and 66 licenses. Luis has been registered with the state of Florida since 2007. Prior to joining Raymond James & Associates, Inc. Luis worked for UBS Financial Services Inc. and HSBC Securities (USA) Inc. and Wells Fargo Advisors, LLC.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
09/19/2022 - Present
Raymond James & Associates, Inc. (CORAL GABLES FL)
FL
10/07/2013 - 09/27/2022
UBS FINANCIAL SERVICES INC. (CORAL GABLES FL)
FL
03/17/2010 - 10/08/2013
HSBC SECURITIES (USA) INC. (MIAMI FL)
FL
12/11/2007 - 02/08/2010
WELLS FARGO ADVISORS, LLC (MIAMI FL)
BOTH
Issued 01/31/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/2012
Series 7 - General Securities Representative Examination
BC
Issued 12/10/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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