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Sandro Jaime Pestana

Ubs Financial Services Inc.

Weehawken, NJ

Aliso Viejo, CA

CRD 2701640

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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
CA RA APPROVED 2016-07-28
FL RA APPROVED 2014-06-02
TX RA APPROVED_RES 2014-06-02
  • CA RA
    APPROVED
    Since 2016-07-28
  • FL RA
    APPROVED
    Since 2014-06-02
  • TX RA
    APPROVED_RES
    Since 2014-06-02

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Aliso Viejo, CA • 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 05/2014 Present
Previous Registrations
  • 2009-01-21 → 2014-06-13
    Barclays Capital Inc.
    Miami, FL
  • 2008-03-26 → 2008-10-15
    Lehman Brothers Inc.
    Miami, FL
    New York, NY
    Miami, FL
Other Businesses

Talia LLC / Company / Manufacture and Sales of Women's Apparel / Partner

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-25
S63 Uniform Securities Agent State Law Examination 1996-03-12
  • S66 Uniform Combined State Law Examination
    2008-03-25
  • S63 Uniform Securities Agent State Law Examination
    1996-03-12
Other Names
  • Sandro Pestana

View on SEC IAPD

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