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Merillyn Alisha Caracciolo

Ubs Financial Services Inc.

Dallas, TX

Stamford, CT

Dallas, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-09-23
TX RA APPROVED 2022-09-23
  • NY RA
    APPROVED
    Since 2022-09-23
  • TX RA
    APPROVED
    Since 2022-09-23

Branch Locations

Dallas, TX • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

100 Crescent Court Suite 600, Dallas, TX 75201 • 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
Jp Morgan Securities Llc Dallas TX 05/2016 10/2021
Morgan Stanley New York NY 11/2021 Present
Ubs Financial Services New York NY 09/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-20
S63 Uniform Securities Agent State Law Examination 2014-06-28
  • S66 Uniform Combined State Law Examination
    2016-06-20
  • S63 Uniform Securities Agent State Law Examination
    2014-06-28
Other Names
  • Merill Caracciolo
  • Merillyn Alisha Caracciolo
  • Merillyn Caracciolo
  • Merillyn A Caracciolo

View on SEC IAPD

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