Jose G. Arias Rodriguez
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.
Jose Guillermo Arias Rodriguez, who also goes by Jose G Arias, Jose Guillermo Arias, Jose G Arias Rodriguez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1991. Jose had worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 1998 - August 28, 2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
October 2, 1991 - October 5, 2023
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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