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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-04-12
TX RA APPROVED_RES 2017-08-11
NJ RA APPROVED 2013-12-23
  • PA RA
    APPROVED
    Since 2022-04-12
  • TX RA
    APPROVED_RES
    Since 2017-08-11
  • NJ RA
    APPROVED
    Since 2013-12-23

Branch Locations

140 Broad Street Suite 100, Red Bank, NJ 07701 • United States

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

Red Bank, NJ • 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 Red Bank NJ 08/2015 Present
Previous Registrations
Other Businesses

1)Kona Investment Group, Inc. / 50 Oak Leaf Lane Tinton Falls,NJ 07712 / Other/ Household Goods & Textiles / Interior Design and Staging / Member of a committee with management or supervisory functions / / Market and create interior designs and staging for customers, manage relationships / Start Date 5/20/2015/

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-13
S63 Uniform Securities Agent State Law Examination 2008-01-08
  • S66 Uniform Combined State Law Examination
    2009-04-13
  • S63 Uniform Securities Agent State Law Examination
    2008-01-08
Other Names
  • Gabriel Caponetto
  • Gabriel A. Caponetto
  • Gabriel A Caponetto
  • Gabriel Caponetto

View on SEC IAPD

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