Mauricio Assael, financial advisor Miami FL
78 score

Mauricio Assael

CRD 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 2 years of experience in the finance industry.

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Company Name Location Dates Years
Wunderlich Securities, Inc. Memphis, TN Jan 2015 - Current 1
Atlas One Financial Group, LLC Miami, FL Mar 2007 - Current 9
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Mauricio U. Assael
Phone Number: 901-251-1330
Registered State(s):
  • FL
  • TX
By the Numbers
  • Total Assets Under Management
    1,489
    MILLIONS
  • Total Number of Accounts
    4,309
    ACCOUNTS
  • Average Account Value
    $345,582
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
78

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