Daniel Paul Gerardi

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
NY	RA	APPROVED	2021-10-26
PA	RA	APPROVED	2019-07-17
NJ	RA	APPROVED	2015-05-04
TX	RA	APPROVED	2015-05-04

NY RA
APPROVED

Since 2021-10-26
PA RA
APPROVED

Since 2019-07-17
NJ RA
APPROVED

Since 2015-05-04
TX RA
APPROVED

Since 2015-05-04

Branch Locations

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • 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
Ubs Financial Services	New York	NY	05/2015	Present

05/2015 → Present

Ubs Financial Services

New York, NY

Previous Registrations

2013-08-09 → 2015-05-15

Morgan Stanley

Purchase, NY

Other Businesses

NAME OF OTHER BUSINESS: Paul J Gerardi Irrevocable Trust DTD 08/13/2022 / INVESTMENT RELATED?: yes / ADDRESS: 62 Winfield Avenue, Harrison, NY / NATURE OF THE BUSINESS: Trust / POSITION: Trustee / DUTIES: Paying the annual premiums of the insurance policies that my sister-in-law will transfer into the trust / START DATE: 8-18-2022 / HOURS DEVOTED TO BUSINESS: NA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-08-08

S66 Uniform Combined State Law Examination

2013-08-08

Designations

Certified Financial Planner

Other Names

Daniel Gerardi
Daniel Paul Gerardi
Daniel Paul Gerardi

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