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Joseph Clement Cagnazzo

Ubs Financial Services Inc.

New York, NY

CRD 5450089

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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
NY RA APPROVED 2026-04-02
  • NY RA
    APPROVED
    Since 2026-04-02

Branch Locations

1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • 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
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc New York NY 03/2016 02/2026
Ubs Financial Services Inc. New York NY 03/2026 Present
Previous Registrations
  • 2016-05-18 → 2026-02-09
    Morgan Stanley
    Purchase, NY
    New York, NY
    New York, NY
    Purchase, NY
    New York, NY
    New York, NY
    New York, NY
    Boston, MA
    New York, NY
    Purchase, NY
    Morristown, NJ
    New York, NY
  • 2008-02-12 → 2014-07-30
    Bny Mellon Securities Corporation
    New York, NY
    Charlotte, NC
    Nashville, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-11
  • S66 Uniform Combined State Law Examination
    2008-02-11
Other Names
  • Joe Cagnazzo
  • Joseph Clement Cagnazzo

View on SEC IAPD

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