Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Rivera is a registered representative with UBS Financial Services Inc. William has been in the securities industry since September 23, 1987. William is licensed to sell securities in Puerto Rico. William is also registered with the Financial Industry Regulatory Authority (FINRA) as a general securities representative. William has passed the following FINRA exams: Series 7, Series 55, Series 57TO, and the Securities Industry Essentials Examination (SIE). William has held previous registrations with UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO. William is a member of the UBS Financial Services Inc. team in SAN JUAN, PR.
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
09/24/1987 - Present
UBS Financial Services Inc. (SAN JUAN PR)
PR
10/06/1987 - 08/28/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
BC
Issued 11/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/21/1987
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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