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Jose Joaquin Figueroa

Ubs Financial Services Inc.

New York, NY

Miami, 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 2023-12-20
NJ RA APPROVED 2023-11-15
CA RA APPROVED 2023-11-13
NC RA APPROVED 2023-11-13
NY RA APPROVED 2023-11-10
TX RA APPROVED 2023-11-10
  • FL RA
    APPROVED
    Since 2023-12-20
  • NJ RA
    APPROVED
    Since 2023-11-15
  • CA RA
    APPROVED
    Since 2023-11-13
  • NC RA
    APPROVED
    Since 2023-11-13
  • NY RA
    APPROVED
    Since 2023-11-10
  • TX RA
    APPROVED
    Since 2023-11-10

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States

Miami, FL • 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 10/2011 11/2023
Morgan Stanley Private Bank, N.A. New York NY 01/2015 11/2023
Ubs Financial Services Miami FL 11/2023 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 10/2011 → 11/2023
    Morgan Stanley Smith Barney Llc
    New York, NY
  • 01/2015 → 11/2023
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 11/2023 → Present
    Ubs Financial Services
    Miami, FL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2013-05-31 → 2023-11-21
    Morgan Stanley
    New York, NY
    New York, NY
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-30
  • S66 Uniform Combined State Law Examination
    2013-05-30
Other Names
  • Jose Joaquin Figueroa
  • Jose Joaquin Joaquin Figueroa

View on SEC IAPD

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