Maria V. Sanchez
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.
Maria Virginia Sanchez, who also goes by Maria VIrginia Sanchez, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 2004. Maria had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2024 - July 13, 2026
UBS FINANCIAL SERVICES INC.
November 27, 2024 - July 13, 2026
UBS FINANCIAL SERVICES INC.
June 20, 2022 - November 15, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 18, 2022 - November 15, 2024
FIDELITY BROKERAGE SERVICES LLC
August 7, 2018 - May 5, 2022
TRUIST ADVISORY SERVICES, INC.
July 31, 2018 - May 5, 2022
TRUIST INVESTMENT SERVICES, INC.
December 22, 2016 - June 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2016 - June 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - October 7, 2015
J.P. MORGAN SECURITIES LLC
July 10, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 14, 2007 - January 9, 2009
CREDIT SUISSE SECURITIES (USA) LLC
March 3, 2006 - May 8, 2007
UBS INTERNATIONAL INC.
September 10, 2004 - October 11, 2005
LEHMAN BROTHERS INC.
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
Current 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 | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
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.
