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Emilio Arguello

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Information

Firm:
Type: Registered Representative
Description

Emilio Arguello is a financial professional at UBS Financial Services Inc., a broker-dealer with over 12,300 registered representatives nationwide. Emilio has held an industry securities registration for 12 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
UBS Financial Services Inc. 1 month, 4 weeks Jan 2015 - Present
Hsbc Securities (USA) Inc. 9 years, 11 months Jan 2005 - Dec 2014
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 09/30/2002

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Emilio Arguello has not answered any questions on Financial Q&A.

Top Guides

Emilio Arguello has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
02/06/2015
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS