Sarah Perahia, financial advisor Los Angeles CA
81 score

Sarah Perahia

CRD Number: 5590093
Current Firm: Ubs Financial Services Inc.

Sarah Perahia (CRD# 5590093) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Los Angeles, CA and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Los Angeles, CA Oct 2015 - Current 1
Jp Morgan Securities LLC Los Angeles, CA Oct 2011 - Oct 2015 4
Jpmorgan Chase Bank Na Los Angeles, CA Oct 2011 - Oct 2015 4
Deutsche Bank Securities Inc. Los Angeles, CA Jan 2010 - Oct 2011 1
Signator Investors, Inc. Los Angeles, CA Sep 2008 - Jan 2010 1
Shaarks Cove Manhattan Beach, CA Aug 2007 - Aug 2008 1
Unemployed Hermosa, CA Jun 2007 - Aug 2007 < 1
Ra Sushi Torrance, CA Sep 2006 - May 2007 < 1
Unemployed Hermosa, CA Mar 2006 - Sep 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2009
S65 NASAA Investment Advisors Law Examination Sep 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Sarah E. Perahia
Phone Number: 201-352-3000
Registered State(s):
  • CA
  • TX
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
81

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