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Marcos G. Ubinas

CETERA INVESTMENT ADVISERS LLC
FORT LAUDERDALE, FL 33394
Some features on this profile are disabled
CRD#: 4452665
MU

Professional summary

Marcos Guillermo Ubinas is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Lauderdale, Florida and CETERA INVESTMENT SERVICES LLC located in Hialeah, Florida.

Marcos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Marcos has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Marcos Guillermo Ubinas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

June 4, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 100 Se 3rd Avenue, Fort Lauderdale, FL 33394
RIA
CRD#: 105644
FORT LAUDERDALE, FL
Current

June 1, 2021 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4375 East 4th Ave, Hialeah, FL 33013Office #2: 901 S Miami Ave Suite 210, Miami, FL 33130Office #3: 3700 West 12th Avenue, Hialeah, FL 33012Office #4: 1401 Tamiami Trail, Punta Gorda, FL 33950Office #5: 24836 South Tamiami Trail, Bonita Springs, FL 34134
BD
CRD#: 15340
Hialeah, FL
Past

November 12, 2020 - June 1, 2021

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
West Palm Beach, FL
Past

October 19, 2020 - June 1, 2021

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
West Palm Beach, FL
Past

October 28, 2016 - June 5, 2020

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
NEW YORK, NY
Past

October 27, 2016 - June 5, 2020

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

October 1, 2012 - October 14, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
PLANTATION, FL
Past

October 1, 2012 - October 14, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PLANTATION, FL
Past

August 31, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PALM BEACH GARDENS, FL
Past

August 26, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PALM BEACH GARDENS, FL
Past

January 30, 2006 - August 4, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PLANTATION, FL
Past

January 23, 2006 - August 4, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PLANTATION, FL
Past

May 7, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
HALLANDALE, FL
Past

April 7, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/1/2021)
RR
Florida
(6/1/2021)
IAR
Florida
(6/4/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/2/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/9/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/5/2012
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/19/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Fort Lauderdale, FL 33394

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