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John P Paul Rocco

Ubs Financial Services Inc.

New York, NY

Naples, FL

Short Hills, 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 2023-08-24
FL RA APPROVED 2023-05-09
TX RA APPROVED_RES 2023-01-09
NJ RA APPROVED 2011-07-12
  • NY RA
    APPROVED
    Since 2023-08-24
  • FL RA
    APPROVED
    Since 2023-05-09
  • TX RA
    APPROVED_RES
    Since 2023-01-09
  • NJ RA
    APPROVED
    Since 2011-07-12

Branch Locations

1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States

801 Laurel Oak Drive Suite 500, Suntrust Building, Naples, FL 34108 • United States

51 John F. Kennedy Parkway Suite 240, Short Hills, NJ 07078 • 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 Short Hills NJ 08/2010 Present
  • 08/2010 → Present
    Ubs Financial Services
    Short Hills, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-05-31
  • S66 Uniform Combined State Law Examination
    2011-05-31
Other Names
  • John Paul Rocco
  • John Rocco
  • John Paul Rocco

View on SEC IAPD

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