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Antonio Herrerorovira

Some features on this profile are disabled
CRD#: 1878587
AH

Professional summary

Antonio Herrerorovira was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Antonio is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Antonio had worked at 5 firms, which includes UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, UBS FINANCIAL SERVICES INC., POPULAR SECURITIES LLC, MARKETING ONE SECURITIES INC., PFS INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Antonio Herrero | Tony Herrerorovira

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 26, 1998 - June 11, 2008

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
SAN JUAN, PR
Past

May 7, 1998 - June 11, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN JUAN, PR
Past

May 21, 1997 - May 20, 1998

POPULAR SECURITIES, LLC

BD
CRD#: 8096
SAN JUAN, PR
Past

July 7, 1994 - May 21, 1997

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

April 10, 1991 - July 12, 1994

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/26/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/1/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/6/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/6/1991
Investment Company Products/Variable Contracts Principal Examination

Current Firm

UF
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
PAINE WEBBER JACKSON & CURTIS INCORPORATED OF PUERTO RICO | UBS PAINEWEBBER INCORPORATED OF PUERTO RICO | UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO | PAINEWEBBER INCORPORATED OF PUERTO RICO

CRD#: 13042 / SEC#: , 8-28475

BD
Terminated by SEC on 10/29/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Puerto Rico since 04/05/1978
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
UBS FINANCIAL SERVICES INC.OWNER8174
MANZ, ALEXANDRE CYRILGENERAL COUNSEL, EXECUTIVE DIRECTOR5214595
SERRANO, RAULCHIEF COMPLIANCE OFFICER6608747
UBINAS TAYLOR, CARLOS VERNERCHAIRMAN, PRESIDENT1985568

Disclosures

Regulatory Event8
Arbitration43

Red Flags

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.

Company Information

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

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