Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Alberto Maya is a financial advisor with over 5 years of experience in the industry. Samuel has held positions with UBS Financial Services Inc. and StateTrust Investments Inc.. Samuel holds Series 4, 7TO, 9, 10, 24, 66, 79TO and 99TO licenses and is registered with FINRA and 53 states. Samuel is currently employed by UBS Securities LLC and UBS Financial Services Inc. and is located in Brooklyn, NY. Samuel specializes in financial planning, portfolio management for individuals and businesses and educational seminars.
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
NY
07/31/2024 - Present
UBS Securities LLC (New York NY)
FL
02/11/2021 - 07/19/2022
UBS FINANCIAL SERVICES INC. (MIAMI FL)
FL
06/01/2019 - 02/05/2021
STATETRUST INVESTMENTS INC. (Miami FL)
BOTH
Issued 7/10/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/24/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/19/2019
Series 4 - Registered Options Principal Examination
BC
Issued 8/20/2019
Series 24 - General Securities Principal Examination
BC
Issued 8/23/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 6/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 6/1/2019
Series 7TO - General Securities Representative Examination
BC
Issued 4/3/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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