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Matthew Philip Santini

Ubs Financial Services Inc.

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-10-26
TX RA APPROVED_RES 2021-11-23
NY RA APPROVED 2021-10-26
  • CT RA
    APPROVED
    Since 2023-10-26
  • TX RA
    APPROVED_RES
    Since 2021-11-23
  • NY RA
    APPROVED
    Since 2021-10-26

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
Mass Mutual Life Insurance Company New York NY 10/2016 08/2019
Mml Investors Services New York NY 07/2014 08/2019
Ubs Financial Services Inc. New York NY 08/2019 Present
  • 10/2016 → 08/2019
    Mass Mutual Life Insurance Company
    New York, NY
  • 07/2014 → 08/2019
    Mml Investors Services
    New York, NY
  • 08/2019 → Present
    Ubs Financial Services Inc.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-11-21
S66 Uniform Combined State Law Examination 2005-11-07
  • S65 Uniform Investment Adviser Law Examination
    2013-11-21
  • S66 Uniform Combined State Law Examination
    2005-11-07

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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