Roberto Ugalde

CRD 5973741 · Fidelity Brokerage Services LLC · Pasadena, CA

IA RegisteredBroker

Also appears in the source record as: Roberto Vicente Ugalde; Roberto Vicente Ugalde-Villela

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (25): Arizona · California · Colorado · Florida · Georgia · Hawaii · Indiana · Massachusetts · Michigan · Minnesota · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (11)

From the source registration record · current first

Strategic Advisers LLCCurrent
Pasadena, CA · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
South Pasadena, CA · BD capacity

Oct 9, 2015 → present
Fidelity Brokerage Services LLCCurrent
Pasadena, CA · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Mar 31, 2025
Strategic Advisers LLC
IA capacity

Oct 22, 2015 → Jul 13, 2018
Wells Fargo Advisors, LLC
IA capacity

Nov 19, 2014 → Sep 30, 2015
Wells Fargo Advisors, LLC
BD capacity

Nov 18, 2014 → Sep 30, 2015
Bancwest Investment Services, Inc.
BD capacity

Aug 19, 2013 → Nov 26, 2014
Bancwest Investment Services, Inc. (Bwis) And Bwis D/B/A Fhis
IA capacity

Aug 19, 2013 → Nov 26, 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 21, 2011 → Aug 22, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 24, 2011 → Aug 22, 2013

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5973741 ↗ FINRA BrokerCheck record for CRD 5973741 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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