Experience

Nicolas Bergengruen (MD) joined UBS in 2005 and is Miami International Market Director for UBS FS International since 2006. Based in Miami this Location is also responsible for an offshore Branch in Montevideo (Uruguay) of which he also acts as its General Manager.

As Location Head he manages the Advisors and offices which book their international wealth management business across the brokerage and private banking platforms with a focus on catering to High Net Worth and Ultra High Net Worth clients located in Latin America.

Mr. Bergengruen is also a member of the Board of Directors of UBS Financial Services (Uruguay) S.R.L. and UBS Southern Cone Lead Market Head. He also served until 3 years ago as a member of UBS Leadership Advisory Committee.

Prior to joining UBS, Mr. Bergengruen served in various positions in Dresdner Bank AG, Germany (1994 – 2005) in a number of different roles and locations such as Chile, Germany, Mexico and the US. 

Fluent in Spanish, English and German, he holds a BA/CPA degree from Universidad de la Republica del Uruguay, Montevideo, Uruguay and an MBA from Universidad Adolfo Ibañez, Santiago, Chile.

Claudia Koenig is the Associate Market Executive for the Florida International Market and has over 34 years of experience in the financial services industry.  Claudia joined the Florida International market in 2019 following leading Business Management for the International Division of WMUS where she led strategic projects including the creation of the Uruguay Advisory Office. Prior to working in Wealth Management, Claudia was COO for UBS Trustees (Bahamas) and Controller for different UBS business units and entities and was based in New York and Zurich.

Claudia holds several designations and licenses including the Series 7,66, 9,10, 3 and 27 securities licenses,

Claudia graduated from the University of St. Gallen, Switzerland with a degree in Finance & Accounting.

Ramon Prats is the Sales Manager for the UBS International Florida Market and has more than 19 years’ experience in Wealth Management with UBS in various roles and locations. He began his career in Banco Popular of Puerto Rico where he worked in the Investment Bank and treasury division for 2 years. Following that, he moved to UBS in Puerto Rico where he joined the Capital Markets division and worked his way up to achieving the position of head trader. He moved to Miami where he served as the Sales Manager for the UBS AG Private Bank Division serving clients in Latin America and Europe . He later was promoted to Sales Manager of the entire UBS International Market covering all South Florida. He holds a major in Finance from Villanova University and holds the series 7, 55, 9, 10, and 66.

Dayana was born in Colombia and moved to Miami at 11 years old. She has a
bachelor’s degree in Business Administration with a major in finance from Florida
International University. She began her career in 2013 as a Client Associate at
ARCA Capital Investments and joined UBS Financial Services as a Registered Client
Associate in 2015. She worked with a team of financial advisors covering
Argentina and Uruguay markets. Her expertise included trade execution,
international account opening, client on-boarding and PKR remediations. She also
coordinated volunteer events and branch participation for Season of Service.
In April 2022, she transitioned to the UBSI processing center as an Assistant
Operations Manager while there she approved wire disbursements, trade
approvals for all UBS Divisions, and deputized market operations managers
throughout UBSI. In April 2023, she transitioned as Administrative Manager for FL
International Market and holds FINRA Licenses Series 7, 66, 9 and 10.

Clara Alicea is the Market Administrative Officer of the Florida International Market, where she is responsible for leading the administrative management team for the Wealth Management business.  Clara has spent the past 20-years of her career at UBS Financial Services serving various roles in client service, Supervision, Risk Management and Administrative and Operations Management in different areas including the Puerto Rico Trading Desk and the UBS Trust Company of Puerto Rico. 

Her responsibilities include the oversight of the Market's supervision, human resources, and administrative functions.  She is also responsible for the leadership and development of the administrative team and support staff; coaching and ensuring the day-to-day operations of the San Juan business runs effectively and efficiently.Clara graduated from the University of Puerto Rico with Bachelor of Science in Finance.  She maintains her Series 6, 7, 9, 10, 66, 24 and 53 securities licenses as well as life, annuities, accident, and health insurance licenses in Puerto Rico.  Clara was born in San Juan and currently resides in Miami.  In her free time, Clara enjoys exercising, Formula 1, and spending time with family and friends.

Sam has over 5 years of experience in international wealth management. Prior to starting in UBS, he worked at StateTrust in operational and compliance roles.

In 2020, Sam started working in UBS as the Assistant Operations Manager in the Downtown Miami office and in that time has been promoted to Operations Manager in Miami and has completed two internships with UBS’ Leveraged Capital Markets fzteam in New York.

Sam holds FINRA series 7, 66, 24, 04 and 10.

Yancy Ranalli has been in the financial industry for over 27 years having worked at Lehman Brothers, Barclays Financial, Atlas One Financial, HSBC Private Bank International, Merrill Lynch International and over 6 years at UBS International.

She started at UBS International as the Operations Manager for the Coral Gables complex and since July 2021 she has been working at UBS Miami office as the Market Supervisory Officer (Cross Border).

Her experience through includes working in Operations, Financial Advisor and now handling the day to day compliance and cross border items.

Yancy holds a B.A. in Advertising from the University of Sagrado Corazón in Santurce Puerto Rico. She speaks fluently English, Spanish and conversational Portuguese and holds FINRA SIE, Series 7, Series 9/10, Series 63 licenses.

Hector Mercado has been in the financial industry for over 36 years having worked at EF Hutton, Smith Barney, PaineWebber and UBS. Hector started as a Wire Operator at EF Hutton. Then moved to Operations Manager at PaineWebber Old Town Alexandria Branch until 1999. He started in Puerto Rico as a Financial Advisor from 1999-2006, before moving to Supervision as a Control Officer, then becoming a Complex Admin Manager from 2010 until 2015. He accepted a position in the UBS AG branch located at 701 Brickell Miami as a Market Supervisory Officer, after the closing of the Bank in the US, moved to UBSFSI Miami branch in June 2020 as a Market Supervisory Officer.

Hector speaks fluently English and Spanish. Holds FINRA SIE, Series 7, Series 9/10, Series 63 licenses, also holds Florida Life and Variable Annuity license.