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Rose Julie Defalco

Ubs Financial Services Inc.

Conshohocken, PA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-09-23
  • PA RA
    APPROVED
    Since 2022-09-23

Branch Locations

101 West Elm Street, Conshohocken, PA 19428 • 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
Morgan Stanley Berwyn PA 11/2014 09/2022
Ubs Financial Services Inc Conshohocken PA 09/2022 Present
Previous Registrations
  • 2011-01-03 → 2022-10-19
    Morgan Stanley
    West Chester, PA
    Media, PA
    Berwyn, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-02
S63 Uniform Securities Agent State Law Examination 1989-09-08
  • S65 Uniform Investment Adviser Law Examination
    2000-08-02
  • S63 Uniform Securities Agent State Law Examination
    1989-09-08
Other Names
  • Rose Julie Condon

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · CONSHOHOCKEN, PA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · Conshohocken, PA
ARSENAL CAPITAL ADVISORS LLC · CONSHOHOCKEN, PA
INDEPENDENT FINANCIAL PARTNERS · Conshohocken, PA
HBKS WEALTH ADVISORS · CONSHOHOCKEN, PA
WILLIAM BLAIR · CONSHOHOCKEN, PA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CONSHOHOCKEN, PA
UBS FINANCIAL SERVICES INC. · Conshocken, PA

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