Cristiane C. Cacace
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.
Cristiane Calil Cacace, who also goes by Cristiane Calil Cacace, Cristiane Silva, was a registered financial professional .
Cristiane is a previously registered financial professional and started their career in finance in 1998. Cristiane had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2020 - April 22, 2021
UBS SECURITIES LLC
April 23, 2014 - March 8, 2019
CITIGROUP GLOBAL MARKETS INC.
August 21, 2012 - April 29, 2014
J.P. MORGAN SECURITIES LLC
January 18, 2002 - August 2, 2002
LASALLE FINANCIAL SERVICES, INC.
October 27, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
May 10, 2000 - September 8, 2000
SUNAMERICA SECURITIES, INC.
December 15, 1999 - March 28, 2000
SUNAMERICA SECURITIES, INC.
September 22, 1998 - June 15, 1999
MORGAN STANLEY DW INC.
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
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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