Mark Alexander Addessi

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
FL	RA	APPROVED	2022-01-04
CT	RA	APPROVED	2021-11-09
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED_RES	2018-06-12

FL RA
APPROVED

Since 2022-01-04
CT RA
APPROVED

Since 2021-11-09
NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED_RES

Since 2018-06-12

Branch Locations

Westport, CT • United States

1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States

Longboat Key, FL • 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 York	NY	05/1982	Present

05/1982 → Present

Ubs Financial Services Inc.

New York, NY

Other Businesses

1. A.F. Trust, Longboat Key FL United States-33428, Trust for the beneficiary of my father, Manage and distribute according to the needs of my father, start date-6/12/2023.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-03-21
S63	Uniform Securities Agent State Law Examination	1983-03-03

S65 Uniform Investment Adviser Law Examination

1996-03-21
S63 Uniform Securities Agent State Law Examination

1983-03-03

View on SEC IAPD