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MA

Miguel Avalos-hernandez

CRD# 1063850·Registered 2008 - 2012
Previously Registered: Being a previously registered professional could mean that Miguel is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Miguel Avalos-hernandez, who also goes by Miguel Avalos, Miguel Avalos Hernandez, was a registered financial advisor. Miguel was a previously registered financial professional and started their career in finance 2008 - 2012. Miguel had worked at 3 firms and has passed the Series 66 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Miguel Avalos, Miguel Avalos Hernandez

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

DUNIYA TRADE, INC.·CRD# 150616
BD
Carlsbad, CA
August 13, 2012 - December 3, 2012
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
San Antonio, TX
January 1, 2010 - September 10, 2010
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
San Antonio, TX
January 1, 2010 - September 10, 2010
UBS INTERNATIONAL INC.·CRD# 107726
RIA
San Antonio, TX
June 12, 2008 - January 1, 2010
UBS INTERNATIONAL INC.·CRD# 107726
BD
San Antonio, TX
May 19, 2008 - January 1, 2010

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Current Firm

DT
DUNIYA TRADE, INC.

DUNIYA TRADE, INC. | WALL STREET JR. | DUNIYA TRADING, INC.

CRD#: 150616 / SEC#: 8-68276
BD
Terminated by SEC on 03/16/2014

Contact Information

Established

California since 03/09/2009

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PATEL, YOGESH BHOGILALOWNER5739701
BHATIA, SABEEROWNER—
PUJARA, NEEL RAJENDRAPRESIDENT, CCO & AMLCP4891098
PEAK6 INVESTMENTS L.P.OWNER—

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2008About the Series 66 exam

Series 7 — General Securities Representative Examination

Passed May 2008About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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