Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ramon? Claim Your ProfileRamon Gerardo Prats is a financial advisor with UBS Financial Services Inc. Ramon has been in the industry since 2004 and is currently registered with the state of Florida, as well as other states. Ramon has a wide range of experience in the financial services industry, including experience with UBS Financial Services Incorporated of Puerto Rico. Ramon is dedicated to providing clients with personalized financial advice and guidance. Ramon has held various licenses and certifications, including Series 7, 9, 10, 55, 57TO, 66, and 79TO.
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
FL
05/12/2016 - Present
UBS Financial Services Inc. (CORAL GABLES FL)
PR
11/19/2004 - 11/24/2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
BOTH
Issued 5/11/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/28/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/2/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/18/2004
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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