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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mari? Claim Your ProfileMari Zayas-bazan is a financial advisor with UBS Financial Services Inc. Mari has been in the financial services industry since 2003 and has experience with HSBC Securities (USA) Inc. and UBS International Inc. Mari holds the Series 3, 7, 9, 10 and 66 licenses. Mari is registered to provide investment advice in Florida, Minnesota, and South Dakota. Mari provides investment advisory services to a wide range of clients including individuals, businesses, corporations, high-net-worth individuals, charitable organizations, and pension and profit-sharing plans.
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
01/09/2015 - Present
UBS Financial Services Inc. (CORAL GABLES FL)
FL
10/09/2006 - 12/08/2014
HSBC SECURITIES (USA) INC. (MIAMI FL)
NY
07/22/2002 - 05/25/2006
UBS INTERNATIONAL INC. (NEW YORK NY)
BOTH
Issued 04/30/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/04/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/14/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/2003
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/2002
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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