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Mildred Lopez Legra

Ubs Financial Services Inc.

Miami, FL

Miami , FL

CRD 7162238

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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
FL RA APPROVED 2023-08-22
  • FL RA
    APPROVED
    Since 2023-08-22

Branch Locations

100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States

Miami , 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 08/2019 Present
Leader Global Solutions Llc. Miami FL 10/2017 08/2019
Florida International University Miami FL 08/2016 08/2017
Robert Half Finance And Accounting Miami FL 09/2016 10/2016
  • 08/2019 → Present
    Ubs Financial Services Inc.
    Miami, FL
  • 10/2017 → 08/2019
    Leader Global Solutions Llc.
    Miami, FL
  • 08/2016 → 08/2017
    Florida International University
    Miami, FL
  • 09/2016 → 10/2016
    Robert Half Finance And Accounting
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-20
  • S66 Uniform Combined State Law Examination
    2023-08-20

View on SEC IAPD

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