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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-03-20
FL RA APPROVED 2023-10-17
CO RA APPROVED 2023-10-16
CT RA APPROVED 2023-10-16
NJ RA APPROVED 2023-10-16
NY RA APPROVED 2023-10-16
TX RA APPROVED 2023-10-16
  • CA RA
    APPROVED
    Since 2024-03-20
  • FL RA
    APPROVED
    Since 2023-10-17
  • CO RA
    APPROVED
    Since 2023-10-16
  • CT RA
    APPROVED
    Since 2023-10-16
  • NJ RA
    APPROVED
    Since 2023-10-16
  • NY RA
    APPROVED
    Since 2023-10-16
  • TX RA
    APPROVED
    Since 2023-10-16

Branch Locations

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

Riverdale, NY • 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
Jpmorgan Securities Llc New York NY 06/2011 10/2023
Jpmorgan Chase Bank Na New York NY 11/2016 10/2023
Masal Real Estate 1, Llc Surfside FL 01/2018 07/2018
Ubs Financial Services Inc. New York NY 10/2023 Present
  • 06/2011 → 10/2023
    Jpmorgan Securities Llc
    New York, NY
  • 11/2016 → 10/2023
    Jpmorgan Chase Bank Na
    New York, NY
  • 01/2018 → 07/2018
    Masal Real Estate 1, Llc
    Surfside, FL
  • 10/2023 → Present
    New York, NY
Previous Registrations
  • 2010-01-01 → 2011-06-22
    New York, NY
    Weehawken, NJ
  • 2009-02-12 → 2010-01-01
    Ubs International Inc.
    New York, NY
    New York, NY
Other Businesses

1.Owned under personal name - M.D. and S.D.(wife), SurfsideFlorida United States-33154, Residential property owned in personal name and rentedReal Estate, Residential apartment for rent, Proprietor / owner, just renew rent or listing once a year, start date-6/13/2025.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-08-17
S63 Uniform Securities Agent State Law Examination 2006-11-21
  • S65 Uniform Investment Adviser Law Examination
    2023-08-17
  • S63 Uniform Securities Agent State Law Examination
    2006-11-21
Other Names
  • Mauricio Dorfzaun
  • Mauricio Dorfzaun Rothschild

View on SEC IAPD

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