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CRD# 1519748
Currently employed by and registered with the following FINRA Firm(s): UBS FINANCIAL SERVICES INCORPORATED OF UBS FINANCIAL PUERTO RICO SERVICES INC. 250 MUNOZ RIVERA AVENUE ONE STREET 1 SAN JUAN, PR00918 METRO OFFICE PARK CRD#13042 GUAYNABO, PR00968 Registered with this firm since:3/5/1997 CRD#8174 Registered with this firm since:3/5/1997

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Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additional information can be found in the detailed report.

Broker Qualifications

This broker is registered with: 9Self-Regulatory Organizations 6 U.S. states and territories Is this broker currently suspended or inactive with any regulator? No This broker has passed: 1 Principal/Supervisory Exam 1 General Industry/Product Exam 1 State Securities Law Exam

Disclosure Events
Disclosure events are certain criminal matters; regulatory actions; civil judicial proceedings; customer complaints, arbitrations, or civil litigations; employment terminations; and financial matters in which the broker has been involved. Are there events disclosed about this broker? Yes

Get Detailed Report

The following types of disclosures have been reported: Type Count Customer Dispute 1

Registration History

This broker was previously registered with FINRA at the following brokerage firms: PRUDENTIAL SECURITIES INCORPORATED CRD#7471 NEW YORK, NY 02/1990-02/1997 PAINEWEBBER INCORPORATED CRD#8174 WEEHAWKEN, NJ 06/1986-08/1988[10/3/2013 9:14:51 PM]

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