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Eric Scott Garofalo

Ubs Financial Services Inc.

Weehawken, NJ

Nashville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-07-01
  • NJ RA
    APPROVED
    Since 2025-07-01

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

315 Deaderick Street 6 Floor, Nashville, TN 37238 • 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
Morgan Stanley Smith Barney Jersey City NJ 01/2011 09/2017
Principal Life Insurance Des Moines IA 10/2017 07/2019
Principal Securities Des Moines IA 10/2017 07/2019
Morgan Stanley Smith Barney Llc Short Hills NJ 07/2019 06/2025
Ubs Financial Services, Inc Weehawken NJ 06/2025 Present
  • 01/2011 → 09/2017
    Morgan Stanley Smith Barney
    Jersey City, NJ
  • 10/2017 → 07/2019
    Principal Life Insurance
    Des Moines, IA
  • 10/2017 → 07/2019
    Principal Securities
    Des Moines, IA
  • 07/2019 → 06/2025
    Morgan Stanley Smith Barney Llc
    Short Hills, NJ
  • 06/2025 → Present
    Ubs Financial Services, Inc
    Weehawken, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-20
  • S66 Uniform Combined State Law Examination
    2012-09-20

View on SEC IAPD

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