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JG

Juan E. Goytia

Some features on this profile are disabled
CRD#: 4473937
JG

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.

Juan E. Goytia, who also goes by Juan Esteban Goytia, Juan E. Goytia Perez, Juan Esteban Goytia Perez, was a registered financial professional .

Juan is a previously registered financial professional and started their career in finance in 2002. Juan had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Juan Esteban Goytia | Juan E. Goytia Perez | Juan Esteban Goytia Perez

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 14, 2002 - July 27, 2018

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
SAN JUAN, PR
Past

February 14, 2002 - July 27, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN JUAN, PR

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: 3/10/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/2002
General Securities Representative 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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