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Kevin Anthony Spano

Ubs Asset Management (Americas) LLC

New York, NY

Morristown, NJ

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Current Employers
Ubs Asset Management (Americas) Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-04-26
  • NJ RA
    APPROVED
    Since 2023-04-26

Branch Locations

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

Morristown, NJ • 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
Wells Fargo Advisors, Llc. New York NY 11/2015 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 09/2017
Ubs Financial Services New York NY 09/2017 05/2019
Ubs Asset Management New York NY 05/2019 Present
  • 11/2015 → 11/2016
    Wells Fargo Advisors, Llc.
    New York, NY
  • 11/2016 → 09/2017
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 09/2017 → 05/2019
    Ubs Financial Services
    New York, NY
  • 05/2019 → Present
    Ubs Asset Management
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-23
  • S66 Uniform Combined State Law Examination
    2016-03-23
Other Names
  • Kevin Spano

View on SEC IAPD

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