Gerald Sanford Hodes
Professional Summary
Gerald Sanford Hodes was a registered financial advisor. Gerald was a previously registered financial advisor and started their career in finance 1970 - 2002. Gerald had worked at 5 firms and has passed the Series 63, Series 15, Series 3, PC, Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
UBS ADVISORY INTERNATIONAL LLC | UBS INTERNATIONAL INC.
Contact Information
Established
New York since 12/19/2001Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | SHAREHOLDER | — |
| BELAVAL, EUGENIO S | DIRECTOR | 1267012 |
| BURRI, RUDOLF | CHIEF OPERATING OFFICER/DIRECTOR | 4208377 |
| DODD, DAVID MARTIN | DIRECTOR | 1065148 |
| FREY, WILLIAM PATRICK | CFO | 2369814 |
| GONZALEZ, RICARDO ALBERTO JR | CEO/DIRECTOR/MUNI PRINCIPAL | 1460620 |
| SCAVO, JOSEPH FRANK | AML OFFICER | 1240820 |
| SULLIVAN, KATHLEEN FRANCES | ASSOCIATE DIRECTOR/CROP/SROP | 2330070 |
| TORREGIANO, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2753068 |
| TROTTA, ELAINE MARIE | CHIEF ADMINISTRATIVE OFFICER | 1048829 |
| UBINAS TAYLOR, CARLOS VERNER | DIRECTOR & CHAIRMAN OF THE BOARD | 1985568 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Mar 1983PC — AMEX Put and Call Exam
Passed Feb 1981Series 1 — Registered Representative Examination
Passed Aug 1961Series 00 — General Securities Principal Examination
Passed Apr 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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