Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Martin? Claim Your ProfileMartin Ugalde is a registered representative with Cambridge Investment Research Advisors, Inc. Martin has been in the financial services industry since August 22, 2006, and has experience with various firms. Martin is licensed in several states and holds the Series 6, Series 7, Series 63 and Series 66 licenses. Martin specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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.
Solicitation fees from 3rd party money managers
1
2
CA
08/14/2019 - Present
Cambridge Investment Research Advisors, Inc. (Modesto CA)
CA
07/01/2010 - 12/21/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MODESTO CA)
CA
08/22/2006 - 01/19/2010
BANCWEST INVESTMENT SERVICES, INC. (WATERFORD CA)
CA
09/13/2005 - 08/23/2006
GUARANTY BROKERAGE SERVICES, INC. (OAKDALE CA)
BOTH
Issued 02/24/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/2007
Series 7 - General Securities Representative Examination
BC
Issued 09/12/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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