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Rogelio Eduardo Fernandez

Ubs Financial Services Inc.

Coral Gables, FL

Coral Gables, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2015-03-12
  • FL RA
    APPROVED
    Since 2015-03-12

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Coral Gables, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Miami FL 04/2014 Present
Previous Registrations
  • 2006-03-17 → 2007-06-11
    Lasalle Financial Services, Inc.
    Miami, FL
    Miami, FL
    Miami, FL
  • 2005-06-21 → 2005-12-20
    Efg Capital International Llc
    Miami, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-24
S63 Uniform Securities Agent State Law Examination 2008-08-08
  • S65 Uniform Investment Adviser Law Examination
    2014-11-24
  • S63 Uniform Securities Agent State Law Examination
    2008-08-08
Other Names
  • Roy Fernandez

View on SEC IAPD

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