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Ricardo S. Penafiel

Ubs Financial Services Inc.

Boca Raton, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-08-07
  • TX RA
    APPROVED
    Since 2026-08-07

Branch Locations

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • 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
Jpmorgan Chase Bank, Na. Boston MA 10/2010 08/2026
J.P. Morgan Securities Llc Boston MA 10/2008 08/2026
Ubs Financial Services Inc. Boca Raton FL 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-10
S63 Uniform Securities Agent State Law Examination 1996-01-25
  • S65 Uniform Investment Adviser Law Examination
    1996-12-10
  • S63 Uniform Securities Agent State Law Examination
    1996-01-25
Other Names
  • Rick Penafiel
  • Richard Penafiel
  • Ricardo Steve Penafiel

View on SEC IAPD

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Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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