Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Vicente Ugalde is an investment advisor representative with Fidelity Personal And Workplace Advisors. Roberto has been in the financial services industry since October 2011 and has a total of 20 years of experience. Roberto holds the Series 66, Series 7 and SIE licenses. Roberto is currently registered in Arizona, California, Colorado, Connecticut, Florida, Hawaii, Idaho, Illinois, Massachusetts, Michigan, Minnesota, Nevada, New Mexico, New York, North Carolina, Pennsylvania, South Dakota, Texas, Utah and Washington. Roberto has previously worked for WELLS FARGO ADVISORS, LLC and BANCWEST INVESTMENT SERVICES, INC.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
01/15/2019 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
CA
11/18/2014 - 09/30/2015
WELLS FARGO ADVISORS, LLC (MONTCLAIR CA)
CA
08/19/2013 - 11/26/2014
BANCWEST INVESTMENT SERVICES, INC. (PASADENA CA)
CA
10/24/2011 - 08/22/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
BOTH
Issued 11/19/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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