Luis Ugalde, financial advisor Weston FL
78 score

Luis Ugalde

CRD Number: 5906400
Current Firm: Primerica Advisors

Luis Ugalde (CRD# 5906400) is an Investment Advisor Representative working at Primerica Advisors in Weston, FL and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Pfs Investments Inc. Weston, FL Apr 2011 - Current 5
Primerica Financial Services Weston, FL Apr 2008 - Current 8
University Of Miami Miami, FL Nov 2008 - Feb 2011 2
Christabelles Quarters Coconut Grove, FL Feb 2008 - Jan 2010 1
Teva Pharmaceutical Miami, FL Mar 2008 - Sep 2008 < 1
Diamond Backs Waco, TX Sep 2007 - Jan 2008 < 1
Harrington House Waco, TX Apr 2004 - Jan 2008 3
Baylor University Waco, TX Sep 2003 - Dec 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2013
S65 NASAA Investment Advisors Law Examination Nov 2012
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:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Luis R. Ugalde
Phone Number: 800-544-5445
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
78

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