Alberto Pernas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alberto Pernas, who also goes by Alberto Dejesus Pernas, Alberto J Pernas, Alberto Pernas, was a registered financial professional .
Alberto is a previously registered financial professional and started their career in finance in 1985. Alberto had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 25 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2018 - January 3, 2025
UBS FINANCIAL SERVICES INC.
April 7, 2011 - March 9, 2018
SCOTTRADE, INC.
November 28, 2006 - July 6, 2009
E*TRADE SECURITIES LLC
January 5, 2005 - October 27, 2006
COMPUTERSHARE SECURITIES CORPORATION
June 14, 2004 - October 26, 2004
NYLIFE SECURITIES LLC
October 1, 2000 - January 20, 2004
D.R. SAUL & CO., INC.
February 12, 1999 - February 4, 2000
NATIXIS SECURITIES AMERICAS LLC
August 30, 1996 - November 14, 1997
LABRANCHE FINANCIAL SERVICES, LLC
January 11, 1994 - September 5, 1996
SEAPORT SECURITIES CORP.
September 17, 1992 - June 1, 1993
FIRST OPTIONS OF CHICAGO, INC.
July 19, 1991 - April 10, 1992
TIJA MANAGEMENT, INC.
April 24, 1987 - February 8, 1991
CITICORP SECURITIES SERVICES, INC.
October 22, 1985 - May 8, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 8/19/1999
NYSE Trading Assistant ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
