Claudia Caraballo

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-03-11

NJ RA
APPROVED

Since 2025-03-11

Branch Locations

1000 Harbor Blvd., Weehawken, NJ 07086 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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

Organization	City	State	From	To
Superior Group	New York	NY	09/2015	07/2016
Hsbc Bank Usa National Association	New York	NY	07/2016	07/2019
Hsbc Securities Usa Inc	New York	NY	09/2017	07/2019
Citigroup	New York	NY	08/2019	09/2023
Nyu	New York	NY	10/2023	07/2024
Ubs Financial Services, Inc	Weehawken	NJ	08/2024	Present

09/2015 → 07/2016

Superior Group

New York, NY
07/2016 → 07/2019

Hsbc Bank Usa National Association

New York, NY
09/2017 → 07/2019

Hsbc Securities Usa Inc

New York, NY
08/2019 → 09/2023

Citigroup

New York, NY
10/2023 → 07/2024

Nyu

New York, NY
08/2024 → Present

Ubs Financial Services, Inc

Weehawken, NJ

Previous Registrations

2019-09-04 → 2023-09-12

Citigroup Global Markets Inc.

New York, NY
2019-07-05 → 2019-08-07

Hsbc Securities (Usa) Inc.

New York, NY

Other Businesses

Rental Property (75) - Jersey City, NJ; Investment-related; Started: 8/15/2023; Title: Owner; Duties: Owner of real estate property that will be rented.; No time is devoted each month during securities trading hours; 1-5 hours are devoted each month outside of securities trading hours. /////

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-07-01

S66 Uniform Combined State Law Examination

2019-07-01

View on SEC IAPD