Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mauricio? Claim Your ProfileMauricio Dorfzaun is an investment advisor representative with UBS Financial Services Inc. Mauricio has been in the financial industry since 2006 and has a strong background in investment advisory services. Mauricio is registered to provide investment advice in 20 states and is a Series 7, Series 63, Series 65, and SIE licensed professional. Mauricio has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations.
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
10/16/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/23/2011 - 10/15/2023
J.P. MORGAN SECURITIES LLC (New York NY)
NY
01/01/2010 - 06/22/2011
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
09/13/2007 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
11/14/2006 - 10/02/2007
UBS SECURITIES LLC (NEW YORK NY)
IA
Issued 08/17/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/21/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2006
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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