Sergio Mariscal Lozano, financial advisor Coral Gables FL
93 score

Sergio Mariscal Lozano

CRD Number: 3178916
Current Firm: Ubs Financial Services Inc.

Sergio Mariscal Lozano (CRD# 3178916) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Coral Gables, FL and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Coral Gables, FL May 2013 - Current 3
Morgan Stanley Smith Barney Miami, FL Jun 2009 - May 2013 3
Morgan Stanley & Company Incorporated Miami, FL Jan 2007 - Jun 2009 2
Lehman Brothers Inc. Miami, FL Nov 1998 - Jan 2007 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2000
Contact Info for Sergio Mariscal Lozano
Phone Number: 201-352-3000
Registered State(s):
  • FL
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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