Louie Vargas (CRD# 4625103) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Ontario, CA and has over 18 years of experience in the finance industry.
CRD# 1622075
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 5480138
Safeguard Investment Advisory Group, LLC
CRD# 1527744
Transamerica Financial Advisors, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Ontario, CA | Mar 2020 - Current | 4 |
| Ubs Financial Service Inc. | Pasadena, CA | Jan 2020 - Mar 2020 | < 1 |
| Ubs Financial Services Inc. | Los Angeles, CA | Oct 2011 - Dec 2019 | 8 |
| Ubs Financial Service Inc. | San Deigo, CA | Mar 2014 - Sep 2018 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Sep 2005 |
- CA
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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