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Steven L Rossi

Ubs Financial Services Inc.

Boston, MA

North Kingstown, RI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2023-12-20
TX RA APPROVED_RES 2014-03-14
  • RI RA
    APPROVED
    Since 2023-12-20
  • TX RA
    APPROVED_RES
    Since 2014-03-14

Branch Locations

One Post Office Square, Boston, MA 02109 • United States

North Kingstown, RI • 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 Boston MA 06/2008 Present
Previous Registrations
  • 2007-05-14 → 2008-06-19
    Banc Of America Investment Services, Inc.
    Hartford, CT
    Hartford, CT
  • 2007-04-02 → 2007-05-11
    Morgan Stanley & Co. Llc
    Providence, RI
  • 1995-12-31 → 2007-04-02
    Morgan Stanley Dw Inc.
    Providence, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-09
S63 Uniform Securities Agent State Law Examination 1991-01-23
  • S65 Uniform Investment Adviser Law Examination
    1995-08-09
  • S63 Uniform Securities Agent State Law Examination
    1991-01-23
Other Names
  • Steven Louis Rossi

View on SEC IAPD

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Other Offices

COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
WUXI HEALTHCARE VENTURES MANAGEMENT US LLC · BOSTON, MA
NEWPATH MANAGEMENT, L.P. · BOSTON, MA

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