Nancy Ivette Martinez-rivera
Professional Summary
Nancy Ivette Martinez-rivera, who also goes by Nancy I Martinez, Nancy I Martinez-rivera, Nancy I. Martinez-rivera, Nancy IVette Martinez-rivera, is a registered financial advisor currently at UNIVERSAL FINANCIAL SERVICES INC. located in Guaynabo, undefined. Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Nancy has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 3, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nancy I Martinez, Nancy I Martinez-Rivera, Nancy I. Martinez-Rivera, Nancy Ivette Martinez-Rivera
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
UNIVERSAL FINANCIAL SERVICES INC.
Contact Information
Main Address
Calle 1 Lote 10 Calle 1 Lote 10, Guaynabo, PR 00968Mailing Address
Po Box 2171, San Juan, PR 00922-2171Phone Number
(787) 706-7095Established
Puerto Rico since 03/05/2004Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$324,554,949Similar Advisors
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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.
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Primary Firm SEC Registration
UNIVERSAL FINANCIAL SERVICES INC.
State Registrations and Notice Filings
(8/25/2022)
(8/25/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2005About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Nancy Ivette Martinez-rivera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Ivette Martinez-rivera's CRS (Customer Relationship Summary).
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