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JU

Juan Andres D. Ugarte

VISTA EQUITY PARTNERS CAPITAL MARKETS
Austin, TX 78701
Some features on this profile are disabled
CRD#: 5801600
JU

Professional summary

Juan Andres De Sequera Ugarte, who also goes by Andres De Sequera-ugarte, Andy De Sequera-ugarte, Juan Andres De Sequera-ugarte, Juan Andres De Sequera-ugarte, Andres Ugarte, Andy Ugarte, Juan Andres Ugarte, Juanandres Desequera Ugarte, is a registered financial professional currently at VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC located in Austin, Texas.

Juan Andres is registered as a RR (Registered Representative) and started their career in finance in 2011. Juan Andres has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andres De Sequera-Ugarte | Andy De Sequera-Ugarte | Juan Andres De Sequera-Ugarte | Juan Andres De Sequera-Ugarte | Andres Ugarte | Andy Ugarte | Juan Andres Ugarte | Juanandres Desequera Ugarte

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Juan Andres De Sequera Ugarte'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®
None

Experience

Current

October 7, 2025 - Present

VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC

Office #1: 401 Congress Avenue Suite 3100, Austin, TX 78701
BD
CRD#: 332887
Austin, TX
Past

October 20, 2015 - June 7, 2022

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
NEW YORK, NY
Past

January 12, 2011 - June 17, 2013

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
NEW YORK, NY

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
Texas
(10/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/11/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VE
VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC
VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC

CRD#: 332887 / SEC#: , 8-71280

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
50 Hudson Yards Floor 77, New York, NY 10001
Mailing Address
50 Hudson Yards Floor 77, New York, NY 10001
Phone number
(212) 804-9100
Established
Delaware since 08/05/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VISTA EQUITY PARTNERS MANAGEMENT, LLCSOLE MEMBER156973
KRIEWALD, JESSICAFINANCIAL AND OPERATIONS PRINCIPAL7052634
MACNEILL, ASHLEY MCO-CHIEF EXECUTIVE OFFICER5778003
ROOMINA, YASAMIN TARACHIEF COMPLIANCE OFFICER6398919
SOFIELD, KEVIN JOSEPHCO-CHIEF EXECUTIVE OFFICER4004331

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

VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC

CRD#: 332887Austin, TX 78701

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