Joseph P. Katzaroff

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	1997-09-19
CA	RA	APPROVED	1997-07-08

TX RA
APPROVED_RES

Since 1997-09-19
CA RA
APPROVED

Since 1997-07-08

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • United States

20 Pacifica, Irvine, CA 92618 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Painewebber Incorporated	Orange	CA	06/1988	Present

06/1988 → Present

Painewebber Incorporated

Orange, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-07-23
S63	Uniform Securities Agent State Law Examination	1988-09-21

S65 Uniform Investment Adviser Law Examination

1998-07-23
S63 Uniform Securities Agent State Law Examination

1988-09-21

Other Names

Joseph P. Katzaroff
Joseph Patrick Katzaroff

View on SEC IAPD