Sara E. Alexander
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.
Sara Elise Alexander, who also goes by Sara E Alexander, Sara Elise Alexander, Sara Alexander, Sara Elise Riegert, Sara Elise Thomas, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2015. Sara had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2025 - July 21, 2026
UBS FINANCIAL SERVICES INC.
October 15, 2025 - July 21, 2026
UBS FINANCIAL SERVICES INC.
February 14, 2025 - June 2, 2025
MML INVESTORS SERVICES, LLC
January 24, 2025 - June 2, 2025
MML INVESTORS SERVICES, LLC
January 5, 2023 - August 31, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 2023 - August 31, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 2022 - January 24, 2023
CHARLES SCHWAB & CO., INC.
February 9, 2022 - January 24, 2023
CHARLES SCHWAB & CO., INC.
April 30, 2021 - March 7, 2022
TD AMERITRADE, INC.
April 30, 2021 - March 7, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 27, 2021 - March 7, 2022
TD AMERITRADE, INC.
December 7, 2018 - December 8, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 19, 2018 - December 7, 2020
FIDELITY BROKERAGE SERVICES LLC
January 23, 2018 - November 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 22, 2018 - November 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 10, 2015 - October 11, 2017
EDWARD JONES
August 5, 2015 - October 11, 2017
EDWARD JONES
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.
