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Detailed Report
SARA V MCCUE
SARA A VILARINDO
CRD#: 5230139
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 10801 W. CHARLESTON BLVD
LAS VEGAS, NV 89135
Registration History
200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2022 (13 years)2 FIRMS2022 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)2006 - 2007 (<1 year)IAMORGAN STANLEY (CRD# 7556)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Alabama 4/24/2024
B
Missouri 11/7/2022
B
Arizona 11/3/2022
B
Montana 11/7/2022
B
Arkansas 11/7/2022
B
Nevada 11/3/2022
B
California 11/3/2022
IA
Nevada 11/18/2022
IA
California 11/3/2022
B
New Hampshire 11/7/2022
B
Colorado 2/10/2023
B
New Jersey 10/17/2023
B
Connecticut 11/7/2022
B
New Mexico 11/3/2022
B
Florida 11/3/2022
IA
New Mexico 11/4/2022
IA
Florida 11/14/2022
B
New York 11/3/2022
B
Georgia 11/7/2022
IA
New York 11/21/2022
B
Hawaii 11/3/2022
B
North Carolina 4/24/2024
IA
Hawaii 11/21/2022
B
Ohio 11/7/2022
B
Idaho 11/7/2022
B
Oregon 11/7/2022
B
Illinois 11/18/2022
B
Pennsylvania 11/7/2022
IA
Illinois 11/18/2022
B
Tennessee 11/7/2022
B
Indiana 11/3/2022
B
Texas 11/7/2022
IA
Indiana 11/4/2022
IA
Texas 1/9/2023
B
Iowa 4/30/2024
B
Utah 11/7/2022
B
Kansas 11/7/2022
B
Virginia 11/7/2022
B
Massachusetts 11/7/2022
B
Washington 1/3/2023
B
Michigan 11/7/2022
B
Wisconsin 11/7/2022
B
Minnesota 11/7/2022
B
Wyoming 11/7/2022

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)
10801 W. CHARLESTON BLVD, LAS VEGAS, NV 89135
Registered with this firm since 11/3/2022
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
10801 W. CHARLESTON BLVD, LAS VEGAS, NV 89135
Registered with this firm since 11/3/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/04/2009 - 11/04/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
B
 08/04/2009 - 11/04/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAS VEGAS, NV
IA
 06/01/2009 - 08/05/2009 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LAS VEGAS, NV
B
 06/01/2009 - 08/05/2009 MORGAN STANLEY SMITH BARNEY (CRD#:149777) LAS VEGAS, NV
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LAS VEGAS, NV
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LAS VEGAS, NV
IA
 01/02/2007 - 04/02/2007 MORGAN STANLEY (CRD#:7556) LAS VEGAS, NV
B
 12/20/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) LAS VEGAS, NV
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.