Amanda Capuano

Ubs Financial Services Inc.

CRD 7502348

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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

Authority	Category	Status	Date
NJ	RA	APPROVED	2024-05-13

NJ RA
APPROVED

Since 2024-05-13

Branch Locations

61 South Paramus Road Mack Center Iv, Paramus, NJ 07652 • United States

Mahwah, 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

Organization	City	State	From	To
Direct Computer Resources	Franklin Lakes	NJ	05/2018	04/2020
Core Facility Services	Jersey City	NJ	07/2021	02/2022
Ubs Financial Services	Paramus	NJ	02/2022	Present
Monmouth University	West Long Branch	NJ	09/2016	05/2021
Unemployed	--	XX	05/2021	02/2022

05/2018 → 04/2020

Direct Computer Resources

Franklin Lakes, NJ
07/2021 → 02/2022

Core Facility Services

Jersey City, NJ
02/2022 → Present

Ubs Financial Services

Paramus, NJ
09/2016 → 05/2021

Monmouth University

West Long Branch, NJ
05/2021 → 02/2022

Unemployed

--, XX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-05-10
S63	Uniform Securities Agent State Law Examination	2024-03-08

S65 Uniform Investment Adviser Law Examination

2024-05-10
S63 Uniform Securities Agent State Law Examination

2024-03-08

View on SEC IAPD

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