Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ubaldo? Claim Your ProfileUbaldo Monay is a registered representative with Principal Securities, Inc. Ubaldo has been in the financial services industry since August 2021. Ubaldo has successfully completed the Series 6TO, SIE, and Series 63 exams. Ubaldo is registered with the state of California. Ubaldo is currently associated with Principal Securities, Inc. in COSTA MESA, CA. The firm is registered in 38 states including Alabama, Alaska, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, Washington, Wisconsin, and Wyoming. Principal Securities, Inc. has a total of 1153 clients, with approximately $12,105,712,948 in assets under management. The firm offers a variety of services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
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2
CA
08/20/2021 - Present
Principal Securities, Inc. (COSTA MESA CA)
BC
Issued 09/10/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/20/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/06/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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