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Roberto Teofilo

Ubs Financial Services Inc.

Coral Gables, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-01-30
  • FL RA
    APPROVED
    Since 2023-01-30

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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
J.P. Morgan Securities Llc Miami FL 03/2013 04/2018
J.P. Morgan Chase Bank, Na Miami FL 11/2016 04/2018
Db Trust Company Miami FL 04/2018 07/2019
Deutsche Bank Securities, Inc. Miami FL 05/2018 07/2019
Hsbc Securities Usa, Inc. New York NY 08/2019 01/2023
Hsbc Bank Usa, N.A. New York NY 07/2019 01/2023
Ubs Financial Services Coral Gables FL 01/2023 Present
  • 03/2013 → 04/2018
    J.P. Morgan Securities Llc
    Miami, FL
  • 11/2016 → 04/2018
    J.P. Morgan Chase Bank, Na
    Miami, FL
  • 04/2018 → 07/2019
    Db Trust Company
    Miami, FL
  • 05/2018 → 07/2019
    Deutsche Bank Securities, Inc.
    Miami, FL
  • 08/2019 → 01/2023
    Hsbc Securities Usa, Inc.
    New York, NY
  • 07/2019 → 01/2023
    Hsbc Bank Usa, N.A.
    New York, NY
  • 01/2023 → Present
    Ubs Financial Services
    Coral Gables, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-13
  • S66 Uniform Combined State Law Examination
    2022-08-13
Other Names
  • Roberto Parente Teofilo
  • Roberto Teofilo

View on SEC IAPD

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