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Galo German Guerra

UBS Securities LLC

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About Galo German Guerra

Galo Guerra is a securities professional with over 20 years of experience in the financial industry. Galo is currently registered with UBS Securities LLC, a leading global financial services firm. Prior to joining UBS Securities LLC, Galo was employed by THOMAS JAMES ASSOCIATES, INC. Galo has a broad range of experience in the financial markets, including securities trading and investment advisory services. Galo holds a variety of industry licenses, including Series 7, Series 24, Series 55, and Series 57TO.

Firm Information

Galo Guerra 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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Galo Guerra’s Registration & Firm History

NY

09/27/2002 - Present

UBS Securities LLC (NEW YORK NY)

NA

07/14/1993 - 10/04/1993

THOMAS JAMES ASSOCIATES, INC.

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Licenses & Designations

BC

Issued 08/22/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2024

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/09/2002

Series 55 - Limited Representative-Equity Trader Exam

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 Galo German Guerra.
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