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Alejandra Anzaldo

UBS Securities LLC

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About Alejandra Anzaldo

Alejandra Anzaldo is a registered representative with UBS Securities LLC, a broker-dealer firm with an active scope in the securities industry. Alejandra is registered to sell securities in all 50 states and Puerto Rico. She has been in the securities industry since February 2022, when she passed the Securities Industry Essentials (SIE) and Investment Banking Registered Representative examinations. Alejandra also holds a Series 63 license, which allows her to sell securities in all states that require this registration. Alejandra is a valuable asset to UBS Securities LLC, and her expertise and knowledge of the securities industry are a benefit to her clients.

Firm Information

Alejandra Anzaldo is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alejandra Anzaldo’s Registration & Firm History

NY

02/22/2022 - Present

UBS Securities LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/18/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/22/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/31/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alejandra Anzaldo.
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