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Luis R Frascolla

Ubs Financial Services Inc.

Miami, FL

CRD 4659103

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2010-01-01
  • FL RA
    APPROVED
    Since 2010-01-01

Branch Locations

100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • 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. Miami FL 01/2010 Present
Previous Registrations
  • 2004-06-23 → 2010-01-01
    Ubs International Inc.
    Miami, FL
    Miami, FL
Other Businesses

PETRUS 1992 LLC / 3000 SW 4TH AVE MIAMI,FLORIDA 33129 / COMPANY/ REAL ESTATE / START DATE 5/8/2013 Barprado 98 LCC / United States / 9550 SW 67 Th ave FLorida / Other LLC / Real Estate / Proprietor / owner / Start Date 8/10/2015/

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-18
  • S66 Uniform Combined State Law Examination
    2004-06-18
Other Names
  • Luis Rodrigo Frascolla Aresche

View on SEC IAPD

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