Alessandro Ugge

BOK FINANCIAL PRIVATE WEALTH

PLANO, TX 75024

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CRD#: 6179225

Professional summary

Alessandro Ugge, CPWA®, who also goes by Alessandro V. Ugge, Alex Ugge, Alex V Ugge, Alex Ugge, is a registered financial advisor currently at BOK FINANCIAL PRIVATE WEALTH, INC. located in Plano, Texas and BOK FINANCIAL SECURITIES, INC. located in Plano, Texas.

Alessandro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Alessandro has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alessandro V. Ugge | Alex Ugge | Alex V Ugge | Alex Ugge

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.

Compass Bank / Yes / 15 South 20th Street Birmingham, AL 35233 / 09-10-2018 / 160 / 160 / Compass Bank is an affiliate of BBVA Securities Inc. and the firm conducts securities activities on bank premises pursuant to a networking arrangement. Representative is also an employee of firm's affiliate bank and is authorized to offer products of and perform services for the bank / Commercial Bank / Employee / Life & Health License / No / No /// BBVA Compass Insurance Agency Inc / Yes / 5800 N. Mopac Expy Austin, TX 78731 / 01-17-2019 / 8 / 8 / Sales of insurance products through affiliated insurance agency / Bank affiliated insurance agency selling insurance and annuity products to bank and brokerage clients / Agent / Life & Health License / No / No///

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alessandro Ugge's CRS (Customer Relationship Summary).

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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2022-09-06

Expire date: 2024-08-31

Experience

Current

September 25, 2023 - Present

BOK FINANCIAL PRIVATE WEALTH, INC.

Office #1: 5601 Granite Parkway 13th Floor, Plano, TX 75024

RIA

CRD#: 106733

PLANO, TX

Current

September 25, 2023 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 5601 Granite Parkway Stes. 400 & 1300, Plano, TX 75024

RIA

CRD#: 17530

Plano, TX

Current

September 25, 2023 - Present

BOK FINANCIAL SECURITIES, INC.

Office #1: 5601 Granite Parkway Stes. 400 & 1300, Plano, TX 75024

RIA

CRD#: 17530

Plano, TX

Past

September 11, 2020 - September 26, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DALLAS, TX

Past

September 11, 2020 - September 26, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DALLAS, TX

Past

October 3, 2018 - September 11, 2020

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Dallas, TX

Past

September 28, 2018 - September 11, 2020

BBVA SECURITIES INC.

CRD#: 27060

DALLAS, TX

Past

October 19, 2016 - September 7, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FRISCO, TX

Past

October 19, 2016 - September 7, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FRISCO, TX

Past

June 24, 2013 - September 23, 2016

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DALLAS, TX

Past

May 22, 2013 - September 23, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DALLAS, TX

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".

BOK FINANCIAL PRIVATE WEALTH, INC.

CRD#: 106733 / SEC#: 801-51401

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(9/25/2023)

IAR

California
(9/26/2023)

IAR

Colorado
(9/26/2023)

Connecticut
(10/22/2025)

Florida
(1/24/2025)

IAR

Maryland
(9/26/2023)

New Jersey
(5/15/2025)

IAR

Oklahoma
(9/26/2023)

Texas
(9/25/2023)

IAR

Texas
(9/25/2023)

Washington
(9/25/2023)

IAR

Washington
(9/26/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/21/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BOK FINANCIAL PRIVATE WEALTH, INC.

CRD#: 106733 / SEC#: 801-51401

RIA

Registered Investment Advisory firm - (3/6/1996 Approved)

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Contact information

Main Address

1600 Broadway 4th Floor, Denver, CO 80202

Mailing Address

Phone number

(303) 539-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOK FINANCIAL PRIVATE WEALTH, INC., FORM ADV PART 2A JUNE 2025 (6/17/2025)

Regulatory assets under management

Total Number of Accounts	2,179
AUM (Assets Under Management)	$ 3,185,223,176

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
12/18/2024	Cover Page	Report
08/25/2023	Cover Page	Report
09/26/2022	Cover Page	Report

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.

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Alessandro Ugge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alessandro Ugge's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BOK FINANCIAL PRIVATE WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2013

FINRA

Current Firm

BOK FINANCIAL PRIVATE WEALTH, INC.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BOK FINANCIAL PRIVATE WEALTH, INC.

TRUST BUT VERIFY

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