Marcos UbinasCRD Number: 4452665
Current Firm: Hsbc Securities (usa) Inc.
Marcos Ubinas (CRD# 4452665) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Aventura, FL and has over 14 years of experience in the finance industry.
Northstar Financial Planners, Inc.
|J.p. Morgan Securities LLC||Deerfield Beach, FL||Oct 2012 - Current||5|
|Chase Investment Services Corp||Weston, FL||Aug 2009 - Oct 2012||3|
|Ameriprise Financial Services, Inc.||Plantation, FL||Jan 2006 - Aug 2009||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||May 2003|
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 Management2,974MILLIONS
Total Number of Accounts12,328ACCOUNTS
Average Account Value$241,245
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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