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Guilherme Moreira De Araujo Santos

Ubs Financial Services Inc.

New York, NY

CRD 7099191

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-12-19
NJ RA APPROVED 2025-12-17
  • NY RA
    APPROVED
    Since 2025-12-19
  • NJ RA
    APPROVED
    Since 2025-12-17

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 04/2019 11/2025
Bradesco S/A Rio De Janeiro 08/2016 08/2018
Unemployed New York NY 09/2018 03/2019
Ubs Financial Services, Inc New York NY 12/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-25
  • S66 Uniform Combined State Law Examination
    2020-01-25
Other Names
  • Guilherme Moreira De Araujo Santos
  • Guilherme Moreira

View on SEC IAPD

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