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Omar Castro

Ubs Financial Services Inc.

Boca Raton, FL

Coral Gables, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-09-16
TX RA APPROVED 2024-09-10
  • FL RA
    APPROVED
    Since 2024-09-16
  • TX RA
    APPROVED
    Since 2024-09-10

Branch Locations

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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
J.P. Morgan Securities Llc Miami FL 08/2012 07/2018
J.P. Morgan Chase Bank, Na Miami FL 11/2016 07/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 07/2018 09/2024
Bank Of America, N.A. Miami FL 08/2018 09/2024
Ubs Financial Services Inc Coral Gables FL 09/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-13
S66 Uniform Combined State Law Examination 2008-10-11
  • S65 Uniform Investment Adviser Law Examination
    2018-08-13
  • S66 Uniform Combined State Law Examination
    2008-10-11
Other Names
  • Omar Alfredo Castro
  • Omar Alfredo Castro Garzon
  • Omar Castro

View on SEC IAPD

Other Firms

SUN CAPITAL ADVISORS, L.P.
AMERIPRISE FINANCIAL SERVICES, LLC
HIGHTOWER ADVISORS, LLC
ISAM FUNDS (USA) LLC
J.P. MORGAN SECURITIES LLC
FOCUS PARTNERS WEALTH, LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

THOMAS JETHRO DARDEN
Nancy JoeAnn Tush
LANCE P ROSS
BARBARA BLOOM VARGAS
ISABEL VOYER
JEFFREY MARK EAGLE
ELIZABETH V BRUNO
GREGORY DEHRMANN MISEYKO

Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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