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RAMON GERARDO PRATS
RAMON PRATS
CRD#: 4777614
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SE 2ND STREET
27TH FLOOR
MIAMI, FL 33131
Registration History
200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2016 - Present (8 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - Present (20 years)BUBS FINANCIAL SERVICES INCORPO... (CRD# 13042)2004 - 2015 (11 years)
License(s)

State Registrations

B
Alabama 5/13/2021

B
Montana 5/13/2021

B
Alaska 5/13/2021

B
Nebraska 5/13/2021

B
Arizona 5/13/2021

B
Nevada 5/13/2021

B
Arkansas 5/13/2021

B
New Hampshire 5/13/2021

B
California 5/13/2021

B
New Jersey 5/10/2021

B
Colorado 5/13/2021

B
New Mexico 5/13/2021

B
Connecticut 5/13/2021

B
New York 5/16/2016

B
Delaware 5/13/2021

B
North Carolina 5/13/2021

B
District of Columbia 5/13/2021

B
North Dakota 5/13/2021

B
Florida 11/6/2015

B
Ohio 5/13/2021

IA
Florida 5/12/2016

B
Oklahoma 5/13/2021

B
Georgia 5/10/2021

B
Oregon 5/13/2021

B
Hawaii 5/13/2021

B
Pennsylvania 5/13/2021

B
Idaho 5/13/2021

B
Puerto Rico 11/22/2004

B
Illinois 5/13/2021

B
Rhode Island 5/13/2021

B
Indiana 5/13/2021

B
South Carolina 5/13/2021

B
Iowa 5/13/2021

B
South Dakota 5/13/2021

B
Kansas 5/13/2021

B
Tennessee 5/12/2021

B
Kentucky 5/13/2021

B
Texas 5/13/2021

B
Louisiana 5/13/2021

B
Utah 5/13/2021

B
Maine 5/13/2021

B
Vermont 5/13/2021

B
Maryland 5/13/2021

B
Virgin Islands 5/13/2021

B
Massachusetts 5/13/2021

B
Virginia 5/13/2021

B
Michigan 5/13/2021

B
Washington 5/13/2021

B
Minnesota 5/13/2021

B
West Virginia 5/13/2021

B
Mississippi 5/13/2021

B
Wisconsin 5/13/2021

B
Missouri 5/13/2021

B
Wyoming 5/13/2021

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

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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
550 BILTMORE WAY 7TH, 9TH & 10TH FLOOR, CORAL GABLES, FL 33134
Registered with this firm since 5/12/2016

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
550 BILTMORE WAY 7TH, 9TH & 10TH FLOOR, CORAL GABLES, FL 33134
Registered with this firm since 11/19/2004

Previous Registration(s)
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B
11/19/2004 - 11/24/2015 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) SAN JUAN, PR
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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.