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John P. Casey

Ubs Financial Services Inc.

New York, NY

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-07-19
TX RA APPROVED 2023-07-10
SC RA APPROVED 2023-05-31
NY RA APPROVED 2023-05-18
CA RA APPROVED 2022-12-02
  • FL RA
    APPROVED
    Since 2023-07-19
  • TX RA
    APPROVED
    Since 2023-07-10
  • SC RA
    APPROVED
    Since 2023-05-31
  • NY RA
    APPROVED
    Since 2023-05-18
  • CA RA
    APPROVED
    Since 2022-12-02

Branch Locations

299 Park Ave 26Th Floor, New York, NY 10171 • United States

1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • 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
J.P. Morgan Securities Llc New York NY 10/2014 08/2022
Ubs Financial Services, Inc New York NY 08/2022 Present
Previous Registrations
  • 2009-01-21 → 2014-10-30
    Barclays Capital Inc.
    New York, NY
    New York, NY
    New York, NY
  • 2008-02-18 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-12-02
S66 Uniform Combined State Law Examination 2008-02-16
  • S65 Uniform Investment Adviser Law Examination
    2022-12-02
  • S66 Uniform Combined State Law Examination
    2008-02-16
Other Names
  • John P Casey

View on SEC IAPD

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ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
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