Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ALEXANDRE MARTINS SANTOS
ALEX SANTOS
CRD#: 5245165
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1800 NORTH MILITARY TRAIL
SUITE 300
BOCA RATON, FL 33431
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2013 (4 years)2 FIRMS2015 - Present (9 years)BOPPENHEIMER & CO. INC. (CRD# 249)2013 - 2015 (1 year)IAOPPENHEIMER & CO. INC. (CRD# 249)2014 - 2015 (<1 year)IACAMPBELL WILLIAMS, INC. (CRD# 142243)2001 - 2008 (7 years)
Disclosure(s)
View By:
11/10/2014
Regulatory
Final
License(s)

State Registrations

B
Alabama 7/13/2023
B
New Jersey 4/30/2015
B
Arizona 4/30/2015
B
New York 4/30/2015
B
California 4/30/2015
B
North Carolina 1/31/2024
B
Florida 4/30/2015
B
Ohio 5/23/2017
IA
Florida 5/4/2015
B
Oklahoma 1/23/2024
B
Georgia 4/30/2015
B
Oregon 12/14/2020
B
Illinois 8/14/2018
B
Pennsylvania 4/30/2015
B
Indiana 1/4/2021
IA
Pennsylvania 10/21/2024
B
Kansas 6/20/2022
B
Puerto Rico 7/20/2017
B
Louisiana 4/30/2015
B
South Carolina 5/31/2018
B
Maine 2/22/2022
B
Texas 6/1/2015
B
Maryland 12/9/2020
IA
Texas 11/3/2015
B
Michigan 6/8/2015
B
Virginia 4/30/2015
B
Mississippi 12/18/2023
B
Washington 11/22/2023
B
Nevada 12/10/2019

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)
1800 NORTH MILITARY TRAIL SUITE 300, BOCA RATON, FL 33431
Tampa, FL
Registered with this firm since 5/4/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1800 NORTH MILITARY TRAIL SUITE 300, BOCA RATON, FL 33431
Tampa, FL
Registered with this firm since 4/30/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/10/2014 - 05/04/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
B
 07/02/2013 - 05/04/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
IA
 06/01/2009 - 07/23/2013 MORGAN STANLEY (CRD#:149777) W. PALM BEACH, FL
B
 06/01/2009 - 07/23/2013 MORGAN STANLEY (CRD#:149777) W. PALM BEACH, FL
IA
 04/15/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) W. PALM BEACH, FL
B
 04/11/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) W. PALM BEACH, FL
IA
 02/05/2001 - 12/15/2008 CAMPBELL WILLIAMS, INC. (CRD#:142243) CORAL GABLES, FL
IA
 09/17/2007 - 04/22/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST PALM BEACH, FL
B
 10/31/2007 - 04/22/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WEST PALM BEACH, FL
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.