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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PR | RA | APPROVED | 2018-07-13 |
Branch Locations
250 Munoz Rivera Avenue, San Juan, PR 00918 • United States
4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States
San Juan, PR • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Painewebber Incorporated | Ponce | PR | 01/1992 | Present |
| Ubs Financial Services Inc. | Guaynabo | PR | 01/1992 | Present |
1) SUCECION J.SERRALLES INC / COTO LAUREL, PUERTO RICO 00780-1201 / TRUST / AGRICULTURE & LIVESTOCK / MANGO,COFFE,NURSERY,CROPS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / MEMBER OF BOARD OF DIRECTORS / DIRECTOR / POTENTIAL DEALING WITH UBS? CLIENT / START DATE 07/01/2010- 06/30/2012 / 3 HOURS/ MONTH. /// 2) SUCESION J.SERRALLES SECOND / COTO LAUREL, PUERTO RICO 00780-1201 / COMPANY / AGRICULTURE & LIVESTOCK / MANGO, COFFEE PLANTATION / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / MEMBER OF BOARD OF DIRECTORS / DIRECTOR / POTENTIAL DEALING WITH UBS? CLIENT / START DATE 07/01/2010- 06/30/2012 / 3 HOURS/MONTH. /// 3) Kaquiroa LLC; Proprietor / owner; Start date: 2/22/2016
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-28 |
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