Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Miguel? Claim Your ProfileMiguel Maquet-Diafouka is a financial advisor with UBS Financial Services Inc. located in New York, NY. Miguel has been working in the financial services industry since 2003 and has experience with a variety of financial products and services, including investments, insurance, and retirement planning. Miguel has a wide range of experience, having worked with previous firms such as NYLIFE Distributors LLC and Prudential Investment Management Services LLC. Miguel is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 3, 7, 24, 63, and 66 licenses. Miguel is a member of the board of directors of the College Foundation of the University of Virginia.
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
05/20/2009 - 01/31/2013
NYLIFE DISTRIBUTORS LLC (NEW YORK NY)
NJ
04/05/2000 - 07/11/2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
07/29/1996 - 03/01/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/08/1994 - 09/30/1996
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BOTH
Issued 07/31/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2022
Series 24 - General Securities Principal Examination
BC
Issued 05/30/1996
Series 3 - National Commodity Futures Examination
BC
Issued 08/06/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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