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Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Miguel maintains a license to sell life and long-term care insurance, but only sells these products sporadically on a referral basis, dedicating minimal time to this activity. He is also a registered representative at UCAP Securities, LLC and a Financial Advisor at UCAP Asset Management LLC.