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
ROBERTO VICENTE UGALDE
ROBERTO UGALDE, ROBERTO VICENTE UGALDE-VILLELA
CRD#: 5973741
IA
Investment Adviser
B
Broker
STRATEGIC ADVISERS LLCCRD#: 104555 155 SEAPORT BLVD
BOSTON, MA 02210-2698
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 123-127 SOUTH LAKE AVE.
PASADENA, CA 91101
Registration History
201220142016201820202022202420262 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2015 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2025 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2015 - Present (9 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2025 (6 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2015 - 2018 (2 years)
License(s)

State Registrations

B
Arizona 3/12/2021
B
Nevada 3/12/2021
B
California 10/12/2015
B
New Mexico 10/4/2019
IA
California 3/31/2025
B
New York 3/17/2023
B
Colorado 2/14/2022
B
North Carolina 2/13/2024
B
Connecticut 11/12/2020
B
Pennsylvania 8/10/2020
B
Florida 1/8/2018
B
South Dakota 9/18/2023
B
Hawaii 4/8/2024
B
Tennessee 3/10/2025
B
Idaho 3/4/2022
B
Texas 1/9/2019
B
Illinois 3/25/2019
IA
Texas 3/31/2025
B
Massachusetts 12/7/2020
B
Utah 9/29/2023
B
Michigan 12/7/2022
B
Virginia 2/12/2025
B
Minnesota 6/15/2023
B
Washington 10/8/2021

SRO Registrations

B
 FINRA
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
STRATEGIC ADVISERS LLC (CRD#:104555)
155 SEAPORT BLVD, BOSTON, MA 02210-2698
Registered with this firm since 3/31/2025
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
123-127 SOUTH LAKE AVE., PASADENA, CA 91101
SOUTH PASADENA, CA
Registered with this firm since 10/9/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/13/2018 - 03/31/2025 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) PASADENA, CA
IA
 10/22/2015 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) PASADENA, CA
IA
 11/19/2014 - 09/30/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) MONTCLAIR, CA
B
 11/18/2014 - 09/30/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) MONTCLAIR, CA
IA
 08/19/2013 - 11/26/2014 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) PASADENA, CA
B
 08/19/2013 - 11/26/2014 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) PASADENA, CA
IA
 11/21/2011 - 08/22/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 10/24/2011 - 08/22/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
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.