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Courtney Nicole Pia

Ubs Financial Services Inc.

Westport, CT

Stratford, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2018-05-24
  • CT RA
    APPROVED
    Since 2018-05-24

Branch Locations

8 Wright Street, Westport, CT 06880-4701 • United States

Stratford, CT • 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
Mml Investors Services Shelton CT 07/2017 05/2018
Massachusetts Mutual Life Insurance Company Shelton CT 07/2016 05/2018
Barnum Financial Group Shelton CT 06/2015 05/2018
Ubs Financial Services Westport CT 05/2018 Present
  • 07/2017 → 05/2018
    Mml Investors Services
    Shelton, CT
  • 07/2016 → 05/2018
    Massachusetts Mutual Life Insurance Company
    Shelton, CT
  • 06/2015 → 05/2018
    Barnum Financial Group
    Shelton, CT
  • 05/2018 → Present
    Ubs Financial Services
    Westport, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-21
  • S66 Uniform Combined State Law Examination
    2018-05-21
Other Names
  • Courtney Nicole Iassogna

View on SEC IAPD

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QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
MORGAN STANLEY · Westport, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT

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