Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raul? Claim Your ProfileRaul Serrano is an investment advisor representative with UBS Financial Services Inc. Raul is based in San Juan, Puerto Rico. Raul has been in the financial services industry since 2016 and has held previous roles with Citigroup Global Markets Inc. and Citi International Financial Services LLC. Raul is also a registered representative of UBS Financial Services Inc. in Puerto Rico. Raul's clients include individuals, businesses, high-net-worth individuals, pension and profit-sharing plans, charitable organizations, and insurance companies. UBS Financial Services Inc. is a national brokerage firm with over $50 billion in assets under management. The firm provides a wide range of investment advisory services, including financial planning, portfolio management, and retirement planning.
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
PR
03/04/2020 - Present
UBS Financial Services Inc. (San Juan PR)
PR
03/04/2020 - 10/26/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
NY
05/31/2019 - 02/21/2020
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
PR
02/08/2016 - 02/19/2020
CITI INTERNATIONAL FINANCIAL SERVICES LLC (SAN JUAN PR)
BOTH
Issued 06/28/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 06/24/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2016
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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