Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sylvia? Claim Your ProfileSylvia Rodriguez Flores is an active registered investment advisor with UBS Financial Services Inc. Flores has been in the industry since November 2016. Sylvia holds Series 66, Series 7TO, and SIE licenses. She is registered in 28 states, including California, Arizona, Colorado, Connecticut, Florida, Illinois, Iowa, Louisiana, Massachusetts, Michigan, Minnesota, Montana, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Utah, Virginia, Washington, and Wisconsin. Flores specializes in working with high-net-worth individuals, corporations or other businesses, individuals other than high-net-worth, and pension and profit-sharing plans. UBS Financial Services Inc. is a well-established firm, with over $700 billion in regulatory assets under management and over 1 million client accounts. The firm offers a wide range of investment products and services to individuals, families, and businesses. UBS Financial Services Inc. is committed to providing its clients with the highest level of service and expertise.
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
CA
03/12/2021 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
BOTH
Issued 03/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/11/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/18/2018
SIE - Securities Industry Essentials 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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