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SANDRO JAIME PESTANA
SANDRO PESTANA
CRD#: 2701640
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SE 2ND STREET
27TH FLOOR
MIAMI, FL 33131
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2014 (5 years)BLEHMAN BROTHERS INC. (CRD# 7506)1996 - 2008 (12 years)IABARCLAYS CAPITAL INC. (CRD# 19714)2009 - 2014 (5 years)IALEHMAN BROTHERS INC. (CRD# 7506)2008 - 2008 (<1 year)
License(s)

State Registrations

B
California 5/30/2014

B
Georgia 5/30/2014

IA
California 7/28/2016

B
New York 5/30/2014

B
Delaware 6/3/2014

B
Rhode Island 3/29/2022

B
Florida 6/2/2014

B
Texas 5/30/2014

IA
Florida 6/2/2014

IA
Texas 5/30/2014

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)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Aliso Viejo, CA
Registered with this firm since 5/30/2014

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Aliso Viejo, CA
Registered with this firm since 5/30/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/21/2009 - 06/13/2014 BARCLAYS CAPITAL INC. (CRD#:19714) MIAMI, FL
B
09/22/2008 - 06/13/2014 BARCLAYS CAPITAL INC. (CRD#:19714) MIAMI, FL
IA
03/26/2008 - 10/15/2008 LEHMAN BROTHERS INC. (CRD#:7506) MIAMI, FL
B
02/29/1996 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) MIAMI, FL
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B
Broker
IA
Investment Adviser
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.