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Detailed Report
VIVIANA MARISA COELHO
VIVIANA MARISA FERNANDES, VIVIANA FERNANDES
CRD#: 4667964
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Woodbury, CT
Registration History
2004200620082010201220142016201820202022202420263 FIRMS2003 - 2004 (<1 year)2 FIRMS2012 - 2013 (1 year)2 FIRMS2015 - 2023 (8 years)2 FIRMS2023 - Present (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (7 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2011 (6 years)
License(s)

State Registrations

B
Alabama 6/8/2023
B
New Hampshire 6/1/2023
B
Arizona 6/1/2023
B
New Jersey 6/1/2023
B
California 6/1/2023
B
New York 6/1/2023
B
Colorado 6/1/2023
B
North Carolina 6/1/2023
B
Connecticut 6/1/2023
B
Ohio 6/1/2023
IA
Connecticut 6/1/2023
B
Oklahoma 6/1/2023
B
Delaware 6/1/2023
B
Oregon 6/1/2023
B
District of Columbia 6/1/2023
B
Pennsylvania 6/1/2023
B
Florida 6/1/2023
B
Rhode Island 6/1/2023
B
Georgia 6/1/2023
B
South Carolina 6/1/2023
B
Illinois 6/1/2023
B
Tennessee 6/1/2023
B
Indiana 6/1/2023
B
Texas 6/1/2023
B
Kentucky 6/1/2023
IA
Texas 6/1/2023
B
Maine 6/1/2023
B
Vermont 6/1/2023
B
Maryland 6/1/2023
B
Virginia 6/1/2023
B
Massachusetts 6/1/2023
B
Washington 6/1/2023
B
Michigan 3/3/2025
B
Wisconsin 6/1/2023
B
Minnesota 6/1/2023
B
Wyoming 6/1/2023
B
Missouri 6/1/2023

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)
Woodbury, CT
Registered with this firm since 6/1/2023
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Woodbury, CT
Registered with this firm since 6/1/2023
Previous Registration(s)
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IA
 06/03/2015 - 06/07/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ANSONIA, CT
B
 06/18/2015 - 06/07/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ANSONIA, CT
IA
 10/01/2012 - 12/31/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) DANBURY, CT
B
 10/01/2012 - 12/31/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) DANBURY, CT
IA
 03/28/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DANBURY, CT
B
 01/31/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DANBURY, CT
IA
 01/31/2005 - 03/23/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DANBURY, CT
IA
 11/24/2003 - 05/26/2004 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) WOODBRIDGE, CT
B
 11/24/2003 - 05/26/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 11/24/2003 - 05/26/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) 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.