Francis Joseph Giordano

Ubs Financial Services Inc.

CRD 2108256

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
DE	RA	APPROVED	2023-10-25
NY	RA	APPROVED	2023-05-18
NJ	RA	APPROVED	2021-11-15

DE RA
APPROVED

Since 2023-10-25
NY RA
APPROVED

Since 2023-05-18
NJ RA
APPROVED

Since 2021-11-15

Branch Locations

61 South Paramus Road 4Th Floor, Paramus, NJ 07652 • 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

Organization	City	State	From	To
Cantor Fitzgerald & Co	New York	NY	04/2005	04/2020
Cantor Fitzgerald Securities	New York	NY	04/2005	04/2020
Natalliance Securities Llc	Austin	TX	05/2020	Present
Ubs Financial Service Inc.	Paramus	NJ	09/2021	Present

04/2005 → 04/2020

Cantor Fitzgerald & Co

New York, NY
04/2005 → 04/2020

Cantor Fitzgerald Securities

New York, NY
05/2020 → Present

Natalliance Securities Llc

Austin, TX
09/2021 → Present

Ubs Financial Service Inc.

Paramus, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-12
S63	Uniform Securities Agent State Law Examination	1991-08-23

S66 Uniform Combined State Law Examination

2021-11-12
S63 Uniform Securities Agent State Law Examination

1991-08-23

Other Names

Frank Giordano

View on SEC IAPD

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