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Nicholas Alfred Maurillo

Ubs Financial Services Inc.

Fort Myers, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2009-01-27
TX RA APPROVED_RES 2009-01-22
  • FL RA
    APPROVED
    Since 2009-01-27
  • TX RA
    APPROVED_RES
    Since 2009-01-22

Branch Locations

12800 University Drive Suite 500, Fort Myers, FL 33907 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Ft Myers FL 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-13
    Morgan Stanley & Co. Llc
    Ft. Myers, FL
  • 1991-01-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Cape Coral, FL
    Ft. Myers, FL
    Cape Coral, FL
Other Businesses

1. PARTNER OF MTTN ASSOCIATE A REAL ESTATE INVESTMENT LLC. 2. EXMOOR LLC PARTNER 3. TPN LLC MANAGER 4. OWNER OF REAL ESTATE RENTAL. COMPANY NAME NICHOLAS AND PATRICIA MAURILLO

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-14
S63 Uniform Securities Agent State Law Examination 1983-03-29
  • S65 Uniform Investment Adviser Law Examination
    1994-01-14
  • S63 Uniform Securities Agent State Law Examination
    1983-03-29
Other Names
  • Nicholas Alfred Maurillo

View on SEC IAPD

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SANCTUARY ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
CHARLES SCHWAB & CO., INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

DAVID JONATHAN MORELAND
Elizabeth Diane Scoggins
Devin Reich
WILLIAM CARR WHITE
JACQUELINE ANNETTE WEBSTER
SCOTT MICHAEL KLEIN
JEFFREY STUART MALAVSKY
WILLIAM HERBERT WHITE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FORT MYERS, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Fort Myers, FL
BANKERS LIFE ADVISORY SERVICES, INC. · Fort Myers, FL
LPL FINANCIAL LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL

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