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Raul Serrano

Ubs Financial Services Inc.

San Juan, PR

Weehawken, NJ

CRD 6608747

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2020-03-04
  • PR RA
    APPROVED
    Since 2020-03-04

Branch Locations

250 Munoz Rivera Avenue, San Juan, PR 00918 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citi International Financial Services Llc San Juan PR 09/2015 01/2020
Ubs Financial Services Incorporated Of Puerto Rico San Juan PR 02/2020 Present
Ubs Financial Services Inc. Weehawken NJ 02/2020 Present
  • 09/2015 → 01/2020
    Citi International Financial Services Llc
    San Juan, PR
  • 02/2020 → Present
    Ubs Financial Services Incorporated Of Puerto Rico
    San Juan, PR
  • 02/2020 → Present
    Ubs Financial Services Inc.
    Weehawken, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-28
  • S66 Uniform Combined State Law Examination
    2019-06-28
Other Names
  • Raul Serrano Diaz

View on SEC IAPD

Nearby Firms

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Nearby Investors

CARLOS JUAN MIRANDA
RAFAEL R QUINTERO
Osvaldo Cruz Cintron

Nearby Offices

KOVACK ADVISORS, INC. · San Juan, PR
CEFI CAPITAL, LLC · SAN JUAN, PR
OWLCREST PARTNERS LLC · SAN JUAN, PR

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