Stephen Everett Rotondo

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2016-04-12

CT RA
APPROVED

Since 2016-04-12

Branch Locations

One State Street Suite 1600, Hartford, CT 06103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Ubs	Hartford	CT	03/2016	Present

03/2016 → Present

Ubs

Hartford, CT

Previous Registrations

2006-04-07 → 2016-03-30

Wells Fargo Clearing Services, Llc

Farmington, CT

Hartford, CT

Hartford, CT

Farmington, CT

Farmington, CT

Glastonbury, CT
2003-07-01 → 2004-06-16

Wells Fargo Clearing Services, Llc

Hartford, CT
1998-08-14 → 2003-07-01

Prudential Equity Group, Llc

Hartford, CT

Other Businesses

EXECUTOR FOR FATHER'S ESTATE; INV. RELATED; COLLINSVILLE, CT; START DATE 3/1/2016; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-08-06
S63	Uniform Securities Agent State Law Examination	1988-06-06

S65 Uniform Investment Adviser Law Examination

1998-08-06
S63 Uniform Securities Agent State Law Examination

1988-06-06

View on SEC IAPD

More in Hartford, CT

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