Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Diaz is a financial advisor with UBS Financial Services Inc. with more than 20 years of experience in the financial services industry. Luis is a Registered Representative and Investment Advisor Representative, holding a Series 7, Series 63, Series 66, Series 9, and Series 10 licenses. Luis Diaz has previously worked at Oppenheimer & Co. Inc. and Morgan Stanley. Luis works with individual clients and a variety of 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.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
07/20/2015 - 03/14/2018
MORGAN STANLEY (NEW YORK NY)
NY
04/05/2011 - 07/01/2015
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
11/24/2006 - 04/04/2011
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
10/24/2006 - 10/30/2006
SCOTTRADE, INC. (BROOKLYN NY)
NJ
01/21/1998 - 06/14/2006
TD AMERITRADE, INC. (JERSEY CITY NJ)
FL
04/22/1997 - 06/20/1997
BILTMORE SECURITIES, INC (FT. LAUDERDALE FL)
BOTH
Issued 04/06/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/10/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1997
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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