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Detailed Report
JUAN EUGENIO GONZAGA DE LA RAMA
JUAN EUGENIO GONZAGA DELARAMA, Juan G De La Rama
CRD#: 1782444
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2005 - 2015 (10 years)2 FIRMS2015 - Present (9 years)BMORGAN STANLEY DW INC. (CRD# 7556)1989 - 2005 (15 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1987 - 1989 (1 year)IAMORGAN STANLEY (CRD# 7556)1997 - 2005 (7 years)
License(s)

State Registrations

B
California 11/24/2015
B
New York 11/24/2015
IA
California 11/25/2015
B
Ohio 11/24/2015
B
Nevada 1/18/2022
IA
Texas 11/24/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Calabasas, CA
Registered with this firm since 11/24/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Calabasas, CA
Registered with this firm since 11/24/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/14/2005 - 11/27/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 02/14/2005 - 11/27/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
IA
 12/12/1997 - 02/14/2005 MORGAN STANLEY (CRD#:7556) PASADENA, CA
B
 09/25/1989 - 02/14/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 12/22/1987 - 10/04/1989 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.