Gerardo Barrera
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.
Gerardo Barrera JR, who also goes by Gerardo Barrera Alvera, was a registered financial professional .
Gerardo is a previously registered financial professional and started their career in finance in 1978. Gerardo had worked at 6 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 1994 - December 31, 2017
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
November 11, 1992 - December 31, 2017
UBS FINANCIAL SERVICES INC.
November 13, 1984 - November 18, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1980 - December 5, 1984
LEHMAN BROTHERS INC.
January 31, 1980 - October 10, 1980
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 25, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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