Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pablo? Claim Your ProfilePablo Antonio De la rosa is a registered representative with UBS Financial Services Inc. Pablo has been in the industry since January 26, 2011 and is currently registered in California, New York, and Texas. Pablo has worked at UBS Financial Services Inc since 2011. Prior to UBS Financial Services Inc., Pablo worked at PROVIDENT INTERNATIONAL SECURITIES, INC. from February 23, 2010 to May 28, 2010. Pablo holds Series 7, Series 66, SIE, and Series 79TO licenses. Pablo specializes in providing financial planning, portfolio management for individuals and businesses, 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.
See schedule d - miscellaneous
1
2
CA
04/22/2013 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
NY
02/23/2010 - 05/28/2010
PROVIDENT INTERNATIONAL SECURITIES, INC. (NEW YORK NY)
BOTH
Issued 04/19/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2010
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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