Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raymond? Claim Your ProfileRaymond N. Valdivia is an investment advisor representative at UBS Financial Services Inc. Raymond has been in the industry since 2006. He holds Series 3, 7, 9, 10, 63, 66, SIE, and 99 licenses and is registered in Arizona and Illinois. Raymond is affiliated with UBS Financial Services Inc., Credit Suisse Securities (USA) LLC, and has worked 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
IL
09/25/2017 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
09/06/2014 - 06/24/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
BOTH
Issued 09/22/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/29/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2016
Series 7 - General Securities Representative Examination
BC
Issued 09/05/2014
Series 99 - Operations Professional Examination
BC
Issued 03/20/2006
Series 3 - National Commodity Futures 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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