Norma Ivette Montalvo

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	2013-11-01

CT RA
APPROVED

Since 2013-11-01

Branch Locations

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • 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 Financial Services Inc,	Stamford	CT	10/2008	Present

10/2008 → Present

Ubs Financial Services Inc,

Stamford, CT

Previous Registrations

2008-10-16 → 2012-05-07

Ubs Financial Services Inc.

Stamford, CT
2006-01-27 → 2008-09-30

Janney Montgomery Scott Llc

Darien, CT
2003-07-21 → 2004-05-14

Wells Fargo Clearing Services, Llc

Hartsdale, NY
2003-06-16 → 2003-07-21

Ubs Financial Services Inc.

Stamford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-06-13
S63	Uniform Securities Agent State Law Examination	2002-11-07

S65 Uniform Investment Adviser Law Examination

2003-06-13
S63 Uniform Securities Agent State Law Examination

2002-11-07

Other Names

Norma I Montalvo

View on SEC IAPD

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