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Carlos Valverde Duran

Ubs Financial Services Inc.

Miami, FL

CRD 7411592

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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
FL RA APPROVED 2021-08-12
  • FL RA
    APPROVED
    Since 2021-08-12

Branch Locations

100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • 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
Santander International Miami FL 07/2008 07/2021
Ubs Financial Services Miami FL 07/2021 Present
  • 07/2008 → 07/2021
    Santander International
    Miami, FL
  • 07/2021 → Present
    Ubs Financial Services
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-10
  • S66 Uniform Combined State Law Examination
    2021-06-10

View on SEC IAPD

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Nearby Investors

BIANCA MIA HOLLANDER PONTES
CARLOS HOLLANDER
EDUARDO NMN GRUENER

Nearby Offices

HOLLANDER ASSET MANAGEMENT LLC · MIAMI, FL
GFG CAPITAL · MIAMI, FL
XP ADVISORY US, INC. · MIAMI, FL

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