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Detailed Report
PAULA NOGUEIRA BEST
PAULA NOGUEIRA SILVA
CRD#: 6077121
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1255 Treat Blvd
Suite 1000
WALNUT CREEK, CA 94597
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2021 - Present (4 years)BFIRST REPUBLIC SECURITIES COMP... (CRD# 105108)2014 - 2021 (6 years)BM HOLDINGS SECURITIES, INC. (CRD# 43285)2013 - 2018 (5 years)
Disclosure(s)
View By:
11/17/2020
Judgment / Lien
License(s)

State Registrations

B
Alaska 3/18/2024
B
Iowa 3/18/2024
B
California 1/29/2021
B
Washington 3/18/2024
IA
California 1/29/2021

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

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)
1255 Treat Blvd Suite 1000, WALNUT CREEK, CA 94597
Registered with this firm since 1/29/2021
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1255 Treat Blvd Suite 1000, WALNUT CREEK, CA 94597
Registered with this firm since 1/29/2021
Previous Registration(s)
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B
 10/28/2014 - 02/01/2021 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) WALNUT CREEK, CA
B
 05/01/2013 - 12/31/2018 M HOLDINGS SECURITIES, INC. (CRD#:43285) SAN FRANCISCO, 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.