Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Pinto has over 25 years of experience in the financial services industry. Luis is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has held positions with a variety of firms, including UBS Financial Services Inc., UBS International Inc., Dean Witter Reynolds Inc., and American Express Financial Advisors Inc. Luis provides a variety of investment advisory services to individuals, businesses, and institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
09/27/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
TX
01/01/2010 - 10/08/2010
UBS FINANCIAL SERVICES INC. (SAN ANTONIO TX)
TX
04/08/2005 - 01/01/2010
UBS INTERNATIONAL INC. (SAN ANTONIO TX)
NY
10/14/1998 - 04/12/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/19/1997 - 10/02/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MN
01/31/1997 - 05/08/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/31/1997 - 05/08/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 02/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/14/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2005
Series 3 - National Commodity Futures Examination
BC
Issued 01/30/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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