CP
Christian Pocino
UBS FINANCIAL SERVICES | Senior Vice President–Wealth Management
Newport Beach, CA 92660
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CRD#: 5536291
CP
Professional summary
Christian Pocino is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in Newport Beach, California and UBS SECURITIES LLC located in Newport Beach, California.
Christian is registered as a RR (Registered Representative) and started their career in finance in 2008. Christian has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Christian Pocino's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 19, 2020 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 888 San Clemente Drive, Newport Beach, CA 92660RIA
BD
CRD#: 8174
Newport Beach, CA
Current
October 23, 2020 - Present
UBS SECURITIES LLC
Office #1: 888 San Clemente Drive #300, Newport Beach, CA 92660BD
CRD#: 7654
Newport Beach, CA
Current
October 28, 2025 - Present
PIPER SANDLER & CO.
Office #1: 2321 Rosecrans Ave Suite 3200, El Segundo, CA 90245RIA
BD
CRD#: 665
El Segundo, CA
Past
July 12, 2016 - August 5, 2020
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
LOS ANGELES, CA
Past
September 15, 2014 - June 20, 2016
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
EL SEGUNDO, CA
Past
August 5, 2008 - September 5, 2014
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/23/2020)
RR
Alaska(10/23/2020)
RR
Arizona(10/23/2020)
RR
Arkansas(10/23/2020)
RR
California(10/19/2020)
RR
Colorado(10/23/2020)
RR
Connecticut(10/23/2020)
RR
Delaware(10/23/2020)
RR
District of Columbia(10/23/2020)
RR
Florida(10/23/2020)
RR
Georgia(10/23/2020)
RR
Hawaii(10/23/2020)
RR
Idaho(10/23/2020)
RR
Illinois(10/23/2020)
RR
Indiana(10/23/2020)
RR
Iowa(10/23/2020)
RR
Kansas(10/23/2020)
RR
Kentucky(10/23/2020)
RR
Louisiana(10/23/2020)
RR
Maine(10/23/2020)
RR
Maryland(10/23/2020)
RR
Massachusetts(10/23/2020)
RR
Michigan(10/23/2020)
RR
Minnesota(10/23/2020)
RR
Mississippi(10/23/2020)
RR
Missouri(10/23/2020)
RR
Montana(10/23/2020)
RR
Nebraska(10/23/2020)
RR
Nevada(10/23/2020)
RR
New Hampshire(10/23/2020)
RR
New Jersey(10/23/2020)
RR
New Mexico(10/23/2020)
RR
New York(10/23/2020)
RR
North Carolina(10/23/2020)
RR
North Dakota(10/23/2020)
RR
Ohio(10/25/2020)
RR
Oklahoma(10/23/2020)
RR
Oregon(10/23/2020)
RR
Pennsylvania(10/23/2020)
RR
Puerto Rico(10/23/2020)
RR
Rhode Island(10/23/2020)
RR
South Carolina(10/23/2020)
RR
South Dakota(10/23/2020)
RR
Tennessee(10/23/2020)
RR
Texas(10/23/2020)
RR
Utah(10/23/2020)
RR
Vermont(10/23/2020)
RR
Virginia(10/23/2020)
RR
Washington(10/23/2020)
RR
West Virginia(10/23/2020)
RR
Wisconsin(10/23/2020)
RR
Wyoming(10/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Mailing Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Phone number
(612) 303-6000
Established
Delaware since 07/28/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,370
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
Company Information
PIPER SANDLER & CO.
Senior Vice President–Wealth ManagementCRD#: 665Newport Beach, CA 92660TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
