Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Serralles is a financial advisor currently registered with UBS Financial Services Inc.. William is a Series 66 and Series 63 license holder. William has been in the securities industry since May 1991 and holds a Series 7 and SIE license. William is based in SAN JUAN, PR and has experience working at PaineWebber Incorporated, UBS Financial Services Inc., UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, SANTANDER SECURITIES, GKN SECURITIES CORP., GRUNTAL & CO. INCORPORATED, COWEN & CO. and LEHMAN BROTHERS INC. William has worked as a financial advisor for over 30 years and is an active member of the financial community.
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
PR
12/20/2019 - Present
UBS Financial Services Inc. (SAN JUAN PR)
PR
06/30/1998 - 08/29/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
MA
05/30/1997 - 06/19/1998
SANTANDER SECURITIES (BOSTON MA)
NY
07/15/1996 - 05/14/1997
GKN SECURITIES CORP. (NEW YORK NY)
NY
04/30/1995 - 07/03/1996
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
04/05/1994 - 05/05/1995
COWEN & CO. (NEW YORK NY)
NY
04/20/1993 - 04/15/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/17/1991 - 05/05/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 05/05/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/03/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1991
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
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