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Yakim Corral Flores

Ubs Financial Services Inc.

Miami , FL

Coral Gables, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-10-03
  • FL RA
    APPROVED
    Since 2024-10-03

Branch Locations

Miami , FL • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Transition Support Services San Antonio TX 01/2016 03/2017
Ubs Financial Services Inc. New York NY 03/2017 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-10-02
S66 Uniform Combined State Law Examination 2018-02-05
  • S65 Uniform Investment Adviser Law Examination
    2024-10-02
  • S66 Uniform Combined State Law Examination
    2018-02-05

View on SEC IAPD

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