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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-31
NY RA APPROVED 2021-10-26
TX RA APPROVED 2011-06-24
  • FL RA
    APPROVED
    Since 2024-07-31
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2011-06-24

Branch Locations

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 06/2011 Present
Previous Registrations
Other Businesses

1)358 Three Mile Harbor LLC,New YorkUnited States,LLCReal Estate,Real Estate Holding,Partner,Managing the property rentals, maintenance of the property,2,Start date-12/31/2025,Investment Yes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-21
S63 Uniform Securities Agent State Law Examination 1997-05-13
  • S65 Uniform Investment Adviser Law Examination
    1998-04-21
  • S63 Uniform Securities Agent State Law Examination
    1997-05-13
Other Names
  • Garrick Paolo Montenegro

View on SEC IAPD

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