Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2018 indicate that former Florida-based UBS Financial Services broker/adviser Alex Herrera has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herrera (CRD# 3204779).
Alex Herrera has spent 18 years in the securities industry and was most recently registered with UBS Financial Services in Coral Gables, Florida (2012-2018). Previous registrations include HSBC Securities in Coral Gables, Florida (2006-2012); Atlas One Financial Group in Miami, Florida (2005-2006); Citicorp Investment Services in Long Island City, New York (2002-2005); and MML Investors Services in Springfield, Massachusetts (1999-2002). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 29, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 3, 2003; Series 7 (General Securities Representative Examination), which he obtained on February 4, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 21, 1999. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two regulatory sanctions and one pending customer complaint.