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Connie Ann Lapolla

Ubs Financial Services Inc.

New York, NY

Union, NJ

CRD 5828030

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2014-04-24
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2014-04-24

Branch Locations

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • United States

Union, NJ • 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 York NY 07/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-22
  • S66 Uniform Combined State Law Examination
    2014-04-22
Other Names
  • Connie Colacino
  • Connie Ann Colacino

View on SEC IAPD

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