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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Garcia is a financial advisor registered with UBS Financial Services Inc. in Coral Gables, Florida. Ricardo has been in the financial industry since July 14, 2006. Ricardo is registered as a Registered Representative (Series 63 and Series 66) and Investment Advisor Representative. Ricardo has passed the Series 7 and Series 66 examinations. The advisor has been with UBS Financial Services Inc. since February 2015, and before that, Ricardo worked at Santander Securities from March 31, 2010, to February 1, 2011.
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
05/19/2015 - Present
UBS Financial Services Inc. (Coral Gables FL)
FL
03/31/2010 - 02/01/2011
SANTANDER SECURITIES (MIAMI FL)
FL
04/29/2004 - 03/02/2009
SANTANDER SECURITIES (MIAMI FL)
FL
05/03/2001 - 04/30/2004
COUTTS SECURITIES INC. (MIAMI FL)
BOTH
Issued 04/20/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/25/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2000
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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