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Frank Anthony Castro

Ubs Financial Services Inc.

Purchase, NY

Estes Park, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2024-07-08
CO RA APPROVED 2021-11-02
NY RA APPROVED 2021-10-26
TX RA APPROVED 2007-07-12
  • NV RA
    APPROVED
    Since 2024-07-08
  • CO RA
    APPROVED
    Since 2021-11-02
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2007-07-12

Branch Locations

3 Manhattanville Road Suite 210, Purchase, NY 10577 • United States

Estes Park, CO • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc White Plains NY 07/2007 Present
Previous Registrations
  • 2007-04-02 → 2007-07-13
    Morgan Stanley & Co. Llc
    Mt. Kisko, NY
  • 2006-09-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Mt. Kisko, NY
    Mt Kisco, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-05
S63 Uniform Securities Agent State Law Examination 1989-01-31
  • S65 Uniform Investment Adviser Law Examination
    1998-01-05
  • S63 Uniform Securities Agent State Law Examination
    1989-01-31

View on SEC IAPD

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Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY
RBC CAPITAL MARKETS, LLC · PURCHASE, NY

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