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Raya Ann Farooque

Ubs Financial Services Inc.

Rochester, NY

Weehawken, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-03-27
  • NY RA
    APPROVED
    Since 2026-03-27

Branch Locations

400 Linden Oaks, Rochester, NY 14625 • United States

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • 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
Ubs Financial Services Inc. Rochester NY 01/2026 Present
University Of North Florida Jacksonville FL 08/2025 12/2025
Vanguard Charlotte NC 05/2025 08/2025
University Of North Florida Jacksonville FL 01/2025 05/2025
Jpmorgan & Chase Jacksonville FL 01/2022 01/2025
Jpmorgan & Chase Jacksonville FL 07/2021 12/2021
Aeropostale Jacksonville FL 03/2021 12/2021
Craft Behavioral Health Jacksonville FL 07/2017 11/2021
Unemployed None XX 01/2015 07/2017
Aeropostale Jacksonville FL 10/2022 02/2023
  • 01/2026 → Present
    Ubs Financial Services Inc.
    Rochester, NY
  • 08/2025 → 12/2025
    University Of North Florida
    Jacksonville, FL
  • 05/2025 → 08/2025
    Vanguard
    Charlotte, NC
  • 01/2025 → 05/2025
    University Of North Florida
    Jacksonville, FL
  • 01/2022 → 01/2025
    Jpmorgan & Chase
    Jacksonville, FL
  • 07/2021 → 12/2021
    Jpmorgan & Chase
    Jacksonville, FL
  • 03/2021 → 12/2021
    Aeropostale
    Jacksonville, FL
  • 07/2017 → 11/2021
    Craft Behavioral Health
    Jacksonville, FL
  • 01/2015 → 07/2017
    Unemployed
    None, XX
  • 10/2022 → 02/2023
    Aeropostale
    Jacksonville, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-03-27
S63 Uniform Securities Agent State Law Examination 2025-08-26
  • S66 Uniform Combined State Law Examination
    2026-03-27
  • S63 Uniform Securities Agent State Law Examination
    2025-08-26

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
MARINER · Rochester, NY
UBS FINANCIAL SERVICES INC. · Rochester, NY

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