Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mario? Claim Your ProfileMario Antonio Rosas is a financial advisor with UBS Financial Services Inc. Mario has been in the financial industry since 2001 and has experience in providing financial planning, portfolio management for individuals and businesses, pension consulting and educational seminars. Mario is registered with the Financial Industry Regulatory Authority (FINRA) and has a Series 7, Series 63 and Series 66 license.
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
CA
01/19/2010 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
06/20/2006 - 01/01/2010
UBS INTERNATIONAL INC. (SAN DIEGO CA)
CA
04/16/2001 - 06/21/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN DIEGO CA)
BOTH
Issued 12/30/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/14/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2001
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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