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Christian Pocino

UBS Securities LLC

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About Christian Pocino

Christian Pocino is a financial advisor based in Irvine, CA, and has been in the industry since November 16, 2008. Christian is currently registered with UBS Securities LLC and UBS Financial Services Inc. Christian has a diverse set of licenses and registrations, holding Series 3, 7, 63, 57TO, 99TO, and SIE. Christian's previous experience includes working with Wells Fargo Securities, LLC, and Deutsche Bank Securities Inc.

Firm Information

Christian Pocino 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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Christian Pocino’s Registration & Firm History

CA

10/23/2020 - Present

UBS Securities LLC (Irvine CA)

CA

07/12/2016 - 08/05/2020

WELLS FARGO SECURITIES, LLC (LOS ANGELES CA)

CA

09/15/2014 - 06/20/2016

WELLS FARGO SECURITIES, LLC (EL SEGUNDO CA)

CA

08/05/2008 - 09/05/2014

DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 12/23/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/2010

Series 3 - National Commodity Futures Examination

BC

Issued 08/04/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christian Pocino.
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