Sergio Lucio Forlini

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2024-05-09
TX	RA	APPROVED	2024-05-09

CT RA
APPROVED

Since 2024-05-09
TX RA
APPROVED

Since 2024-05-09

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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Fairfield	CT	09/2003	05/2024
Bank Of America, Na	Greenwich	CT	09/2009	05/2024
Ubs Financial Services Inc	Greenwich	CT	05/2024	Present

09/2003 → 05/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairfield, CT
09/2009 → 05/2024

Bank Of America, Na

Greenwich, CT
05/2024 → Present

Ubs Financial Services Inc

Greenwich, CT

Previous Registrations

2007-05-15 → 2024-05-10

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT

Other Businesses

Burning Tree Country Club; 120 Perkins Rd, Greenwich, cT 06830; Sport & Leisure Facilities; Admissions Committee; Member of a committee representing the interests of any third party; Member of admissions committee where we have a monthly meeting to discuss new members wanting to join the club; Start date: 2/1/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-05-14

S66 Uniform Combined State Law Examination

2007-05-14

View on SEC IAPD