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John Garofalo

Ubs Financial Services Inc.

Portland, ME

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-09-16
CO RA APPROVED 2025-05-29
ME RA APPROVED 2025-05-29
CT RA APPROVED 2025-05-22
FL RA APPROVED 2025-05-22
GA RA APPROVED 2025-05-22
CA RA APPROVED 2025-05-14
  • NY RA
    APPROVED
    Since 2025-09-16
  • CO RA
    APPROVED
    Since 2025-05-29
  • ME RA
    APPROVED
    Since 2025-05-29
  • CT RA
    APPROVED
    Since 2025-05-22
  • FL RA
    APPROVED
    Since 2025-05-22
  • GA RA
    APPROVED
    Since 2025-05-22
  • CA RA
    APPROVED
    Since 2025-05-14

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • 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
Ares Investor Services Llc Los Angeles CA 08/2016 02/2020
Ares Management Llc Los Angeles CA 08/2016 02/2020
Nuveen Securities, Llc Los Angeles CA 02/2020 11/2020
Morgan Stanley Los Angeles CA 11/2020 03/2023
Morgan Stanley Private Bank, N.A New York NY 11/2020 03/2023
First Republic Investment Management, Inc. Los Angeles CA 03/2023 04/2023
First Republic Securities Company, Llc Los Angeles CA 03/2023 04/2023
Morgan Stanley Santa Monica CA 04/2023 04/2024
Morgan Stanley Private Bank, N.A New York NY 04/2023 04/2024
Maiden Cove Capital Cape Elizabeth ME 03/2025 04/2025
Ares Wealth Management Solutions Los Angeles CA 04/2024 03/2025
Ubs Financial Services, Inc Falmouth ME 05/2025 Present
  • 08/2016 → 02/2020
    Ares Investor Services Llc
    Los Angeles, CA
  • 08/2016 → 02/2020
    Ares Management Llc
    Los Angeles, CA
  • 02/2020 → 11/2020
    Nuveen Securities, Llc
    Los Angeles, CA
  • 11/2020 → 03/2023
    Morgan Stanley
    Los Angeles, CA
  • 11/2020 → 03/2023
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 03/2023 → 04/2023
    First Republic Investment Management, Inc.
    Los Angeles, CA
  • 03/2023 → 04/2023
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 04/2023 → 04/2024
    Morgan Stanley
    Santa Monica, CA
  • 04/2023 → 04/2024
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 03/2025 → 04/2025
    Maiden Cove Capital
    Cape Elizabeth, ME
  • 04/2024 → 03/2025
    Ares Wealth Management Solutions
    Los Angeles, CA
  • 05/2025 → Present
    Ubs Financial Services, Inc
    Falmouth, ME
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-26
S66 Uniform Combined State Law Examination 2013-06-19
  • S65 Uniform Investment Adviser Law Examination
    2020-12-26
  • S66 Uniform Combined State Law Examination
    2013-06-19
Other Names
  • John Garofalo
  • Jp Garofalo
  • John Paul Garofalo

View on SEC IAPD

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GREAT DIAMOND PARTNERS, LLC
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BIGELOW INVESTMENT ADVISORS, LLC
MASCOMA WEALTH MANAGEMENT
MAINE SECURITIES CORPORATION
PENOBSCOT FINANCIAL ADVISORS

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Other Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME
GREAT DIAMOND PARTNERS, LLC · PORTLAND, ME
HARBOR INVESTMENT ADVISORS · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · Portland, ME
MASCOMA WEALTH MANAGEMENT · Portland, ME

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