Lorene Roccon

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2026-04-07
PA	RA	APPROVED	2025-05-12
ME	RA	APPROVED	2025-05-09
FL	RA	APPROVED	2024-03-05
CO	RA	APPROVED	2019-12-20
CT	RA	APPROVED	2019-12-20

NY RA
APPROVED

Since 2026-04-07
PA RA
APPROVED

Since 2025-05-12
ME RA
APPROVED

Since 2025-05-09
FL RA
APPROVED

Since 2024-03-05
CO RA
APPROVED

Since 2019-12-20
CT RA
APPROVED

Since 2019-12-20

Branch Locations

Vero Beach, FL • United States

2 Union Plaza, New London, CT 06320 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	New London	CT	03/2001	Present

03/2001 → Present

Ubs Financial Services Inc.

New London, CT

Previous Registrations

2008-01-11 → 2009-10-09

Ubs Financial Services Inc.

New London, CT
2001-03-30 → 2007-01-17

Ubs Financial Services Inc.

New London, CT

New London, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-12-20
S65	Uniform Investment Adviser Law Examination	1998-09-24
S63	Uniform Securities Agent State Law Examination	1980-06-09

S66 Uniform Combined State Law Examination

2019-12-20
S65 Uniform Investment Adviser Law Examination

1998-09-24
S63 Uniform Securities Agent State Law Examination

1980-06-09

Other Names

Lorene Thompson
Lorene R Mersereau
Lorene Racconmersereau
Lorene Roccon Mersereau
Lorene R Mersereau
Lorence R Merserdau
Lorene Deming Merserdau
Lorene Deming Mersereau
Lorene Deming
Lorene Roccon Deming
Lorene Roccon
Lorene Roccon Roccon Thompson
Lorene Ann Thompson

View on SEC IAPD