Sandra Dee, financial advisor Carmel CA
93 score

Sandra Dee

CRD Number: 1915614
Current Firm: Ubs Financial Services Inc.

Sandra Dee (CRD# 1915614) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Carmel, CA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Carmel, CA Nov 2013 - Current 3
In Shape Health Clubs Monterey, CA Jul 2010 - Current 6
Gold's Gym Salinas, CA Feb 2009 - Current 7
Ubs Financial Services Inc. San Jose, CA Feb 2012 - Nov 2013 1
Wells Fargo Advisors Financial Network, LLC San Jose, CA Jan 2012 - Feb 2012 < 1
Ubs Financial Services Inc. San Jose, CA Feb 2011 - Jan 2012 < 1
Chase Investment Services Corp. Marina, CA May 2010 - Feb 2011 < 1
Jpmorgan Chase Bank Marina, CA May 2010 - Feb 2011 < 1
Morgan Stanley & Company, Incorporated Monterey, CA Mar 2008 - Mar 2009 1
24 Hour Fitness Salinas, CA Jan 1995 - Dec 2008 13
E*trade Securities LLC Carmel, CA Jul 2005 - Mar 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1989
S65 NASAA Investment Advisors Law Examination Sep 2008
Contact Info for Sandra Dee
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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