Axel R. Mone Frontera

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CRD#: 2012858

Professional summary

Being a previously registered professional could mean that this person 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.

Axel Ramon Mone Frontera, who also goes by Axel R Mone, Axel Ramon Mone, Axel Ramon Monefrontera, was a registered financial professional .

Axel is a previously registered financial professional and started their career in finance in 1990. Axel had worked at 5 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Axel R Mone | Axel Ramon Mone | Axel Ramon Monefrontera

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

February 6, 2009 - December 31, 2024

UNIVERSAL FINANCIAL SERVICES INC.

CRD#: 131558

Guaynabo, PR

Past

January 14, 2002 - December 31, 2008

OSAIC FS, INC.

CRD#: 3870

YAUCO, PR

Past

June 21, 2001 - December 20, 2001

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 14, 1992 - June 18, 2001

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

March 6, 1990 - August 3, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

March 6, 1990 - August 3, 1992

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNIVERSAL FINANCIAL SERVICES INC.

CRD#: 131558 / SEC#: 801-121280, 8-66481

RIA

Registered Investment Advisory firm - SEC (5/21/2021 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/3/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNIVERSAL FINANCIAL SERVICES INC.

CRD#: 131558 / SEC#: 801-121280, 8-66481

RIA

Registered Investment Advisory firm - SEC (5/21/2021 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

Calle 1 Lote 10 Calle 1 Lote 10, Guaynabo, PR 00968

Mailing Address

Po Box 2171, San Juan, PR 00922-2171

Phone number

(787) 706-7095

Established

Puerto Rico since 03/05/2004

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
UNIVERSAL GROUP, INC	OWNER
BENITEZ-ULMER, JOSE CARLOS	EXECUTIVE REPRESENTATIVE, FINOP	2919918
MARTINEZ-RIVERA, NANCY IVETTE	CHIEF COMPLIANCE OFFICER	4659151
MIRANDA, MONIQUE	DIRECTOR
RAMIREZ BERMUDEZ, OSVALDO	CHIEF RISK OFFICER

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 337,465,712

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.

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Axel R. Mone Frontera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNIVERSAL FINANCIAL SERVICES INC.

OSAIC FS, INC.

WALNUT STREET SECURITIES, INC.

OSAIC FS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

UNIVERSAL FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 3/3/1990

Current Firm

UNIVERSAL FINANCIAL SERVICES INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

UNIVERSAL FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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