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Pedro Bollmann

UBS Securities LLC

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About Pedro Bollmann

Pedro Bollmann is a financial professional with over a decade of experience in the industry, having entered the field in November 2008. Currently, Pedro is a registered representative with UBS Securities LLC, a position Pedro has held since October 2020. Previously, Pedro worked at SCOTIA CAPITAL (USA) INC. from July 2017 to August 2020 and DEUTSCHE BANK SECURITIES INC. from September 2008 to July 2017. Pedro is licensed to provide investment advice and services in all 50 states and the District of Columbia. Pedro holds the Series 7, 24, 63, 79TO, and SIE licenses.

Firm Information

Pedro Bollmann 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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Pedro Bollmann’s Registration & Firm History

NY

10/30/2020 - Present

UBS Securities LLC (NEW YORK NY)

NY

07/24/2017 - 08/05/2020

SCOTIA CAPITAL (USA) INC. (NEW YORK NY)

NY

09/05/2008 - 07/24/2017

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/22/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/09/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/04/2008

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 Pedro Bollmann.
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