Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sylvia? Claim Your ProfileSylvia Guzman is a registered representative of UBS Financial Services Inc. with over 25 years of experience in the financial services industry. Sylvia has worked with UBS Financial Services Inc. since 1998. Sylvia is also a registered investment advisor. Sylvia has a wide range of experience in various aspects of the financial services industry and has passed multiple industry exams, including the Series 7, 9, 10, 63 and 65. Sylvia has been registered in Texas since 1998. Sylvia also holds licenses in Massachusetts.
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
TX
09/03/1998 - Present
UBS Financial Services Inc. (HOUSTON TX)
NJ
01/14/1997 - 06/10/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
TX
07/25/1996 - 08/15/1996
UNITED AMERICAN INTERNATIONAL, INC. (HOUSTON TX)
NY
06/20/1995 - 06/07/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/30/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/1995
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
Not sure Sylvia Guzman is the right advisor for you? Invested Better is here to help.
