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Gerald Montegani Jr.

Ubs Financial Services Inc.

Seal Beach, CA

Westminster, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-11-12
TX RA APPROVED 2008-11-07
  • CA RA
    APPROVED
    Since 2008-11-12
  • TX RA
    APPROVED
    Since 2008-11-07

Branch Locations

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • United States

Westminster, CA • 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 Long Beach CA 11/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-11-10
    Morgan Stanley & Co. Llc
    Long Beach, CA
  • 1997-07-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Long Beach, CA
    Long Beach, CA
Other Businesses

1. COMMITTEE MEMBER WITH ST. BONAVENTURE CHURCH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-07
S63 Uniform Securities Agent State Law Examination 1992-04-16
  • S65 Uniform Investment Adviser Law Examination
    1998-07-07
  • S63 Uniform Securities Agent State Law Examination
    1992-04-16
Other Names
  • Gerry Montegani
  • Gerald Thomas Montegani

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
AMIP MANAGEMENT · SEAL BEACH, CA
MY PORTFOLIO GUIDE, LLC · SEAL BEACH, CA
FINEBERG FINANCIAL MANAGEMENT LLC · SEAL BEACH, CA

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