Mario Anthony Lepore

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2010-09-17
TX	RA	APPROVED_RES	2009-07-20

MI RA
APPROVED

Since 2010-09-17
TX RA
APPROVED_RES

Since 2009-07-20

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Shelby Twp, MI • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Troy	MI	08/2000	Present

08/2000 → Present

Ubs Financial Services Inc.

Troy, MI

Other Businesses

1. U.S.A. HOCKEY OFFICIAL. 2. JACK F. DAY LLC. SHELBY TWP., MI 48316. NOT INVESTMENT RELATED. BUSINESS - INDUSTRIAL VALVE SALES. TITLE - OWNER. START DATE - 07/20/2002. 1 HR/WEEK. DUTIES - OWNER. Suzettes Master of Dance / Dance academy used to hold firearm training classes / 14275 Rick Dr. Shelby Township, MI 48316 / instructor / Start Date 2/16/2020

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-05-21
S63	Uniform Securities Agent State Law Examination	1999-04-30

S65 Uniform Investment Adviser Law Examination

1999-05-21
S63 Uniform Securities Agent State Law Examination

1999-04-30

View on SEC IAPD