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Clark Lacerda

Ubs Financial Services Inc.

San Diego, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-11-30
  • CA RA
    APPROVED
    Since 2022-11-30

Branch Locations

17180 Bernardo Center Drive Suite 100, San Diego, CA 92128 • 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
Jpmorgan Chase Bank, N.A Carlsbad CA 08/2018 09/2021
Bank Of America San Marcos CA 11/2017 07/2018
Mimmos Italian Village San Diego CA 06/2017 11/2017
Pepsi Beverages Company San Diego CA 06/2015 04/2017
J.P. Morgan Securities Llc Carlsbad CA 08/2018 09/2021
Clark Lacerda San Diego CA 05/2017 06/2017
Wells Fargo Clearing Services, Llc San Diego CA 10/2021 11/2022
Wells Fargo Bank, Na San Diego CA 09/2021 11/2022
Ubs Financial Services Inc San Diego CA 11/2022 Present
  • 08/2018 → 09/2021
    Jpmorgan Chase Bank, N.A
    Carlsbad, CA
  • 11/2017 → 07/2018
    Bank Of America
    San Marcos, CA
  • 06/2017 → 11/2017
    Mimmos Italian Village
    San Diego, CA
  • 06/2015 → 04/2017
    Pepsi Beverages Company
    San Diego, CA
  • 08/2018 → 09/2021
    J.P. Morgan Securities Llc
    Carlsbad, CA
  • 05/2017 → 06/2017
    Clark Lacerda
    San Diego, CA
  • 10/2021 → 11/2022
    Wells Fargo Clearing Services, Llc
    San Diego, CA
  • 09/2021 → 11/2022
    Wells Fargo Bank, Na
    San Diego, CA
  • 11/2022 → Present
    Ubs Financial Services Inc
    San Diego, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-22
S63 Uniform Securities Agent State Law Examination 2018-10-12
  • S66 Uniform Combined State Law Examination
    2022-01-22
  • S63 Uniform Securities Agent State Law Examination
    2018-10-12
Other Names
  • Clark Lacerda
  • Clark Rocha Diniz Lacerda

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
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