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Nicholas Joseph Randazzo

Ubs Financial Services Inc.

New Orleans, LA

Lafayette, LA

Baton Rouge, LA

Lafayette, LA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-10-23
LA RA APPROVED 2014-05-20
TX RA APPROVED 2014-05-20
  • FL RA
    APPROVED
    Since 2023-10-23
  • LA RA
    APPROVED
    Since 2014-05-20
  • TX RA
    APPROVED
    Since 2014-05-20

Branch Locations

909 Poydras Street Suite 2900, New Orleans, LA 70112 • United States

201 Settlers Trace Boulevard Suite 3004, Lafayette, LA 70508 • United States

7150 Jefferson Highway, Baton Rouge, LA 70806 • United States

201 Settlers Trace Boulevard Suite 3004, Lafayette, LA 70508 • 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. New Orleans LA 05/2014 Present
Previous Registrations
  • 2010-11-12 → 2014-05-28
    Morgan Stanley
    New Orleans, LA
    Houma, LA
    New Orleans, LA
    Mandeville, LA
    Mandeville, LA
  • 2000-11-02 → 2004-08-16
    Banc One Securities Corporation
    Metairie, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-04-07
S63 Uniform Securities Agent State Law Examination 1993-03-22
  • S66 Uniform Combined State Law Examination
    2000-04-07
  • S63 Uniform Securities Agent State Law Examination
    1993-03-22
Other Names
  • Nick Randazzo

View on SEC IAPD

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Other Investors

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ALEXANDER BRUCE HARCUS
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RONALD H. DAWSON, JR.
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Other Offices

MONTZ HARCUS WEALTH MANAGEMENT · NEW ORLEANS, LA
BEACON POINTE ADVISORS, LLC · NEW ORLEANS, LA
EDWARD JONES · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · New Orleans, LA
STATE FARM INVESTMENT MANAGEMENT CORP. · NEW ORLEANS, LA
LPL FINANCIAL LLC · NEW ORLEANS, LA
CETERA INVESTMENT ADVISERS LLC · NEW ORLEANS, LA

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