Rocco Joseph Pietropaolo

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED	2012-03-13

NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED

Since 2012-03-13

Branch Locations

400 Linden Oaks, Rochester, NY 14625 • United States

Canandaigua, 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

Organization	City	State	From	To
Ubs Financial Services Inc	Rochester	NY	12/2011	Present

12/2011 → Present

Ubs Financial Services Inc

Rochester, NY

Other Businesses

CANANDAIGUA EMERGENCY SQUAD / PEARL STREET CANANDAIGUA,NY 14424 / OTHER/ OTHER AMBULATORY SERVICES / AMBULATORY SERVICES / MEMBER OF BOARD OF DIRECTORS / MACRO OVERSIGHT OF ORGANIZATION / START DATE 05/01/2008.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-03-12
S63	Uniform Securities Agent State Law Examination	1991-11-22

S65 Uniform Investment Adviser Law Examination

2012-03-12
S63 Uniform Securities Agent State Law Examination

1991-11-22

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

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