Mauricio AssaelCRD Number: 5394299
Current Firm: Wunderlich Securities, Inc.
Mauricio Assael (CRD# 5394299) is an Investment Advisor Representative working at Wunderlich Securities, Inc. in Miami, FL and has over 3 years of experience in the finance industry.
Northstar Financial Planners, Inc.
|Wunderlich Securities, Inc.||Memphis, TN||Jan 2015 - Current||3|
|Atlas One Financial Group, LLC||Miami, FL||Mar 2007 - Current||10|
|Dominick & Dominick LLC||Miami, FL||May 2008 - Jan 2015||6|
|Bank Hapoalim||Miami, FL||Apr 2005 - Mar 2007||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jul 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,489MILLIONS
Total Number of Accounts4,309ACCOUNTS
Average Account Value$345,582
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV