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Fred Carrolli

Ubs Financial Services Inc.

Naples, FL

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-03
OH RA APPROVED 2025-01-21
FL RA APPROVED 2024-07-03
NY RA APPROVED 2024-05-21
PA RA APPROVED 2023-06-20
  • TX RA
    APPROVED
    Since 2025-03-03
  • OH RA
    APPROVED
    Since 2025-01-21
  • FL RA
    APPROVED
    Since 2024-07-03
  • NY RA
    APPROVED
    Since 2024-05-21
  • PA RA
    APPROVED
    Since 2023-06-20

Branch Locations

Naples, FL • United States

299 Park Ave 26Th Floor, New York, NY 10171 • 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
Ubs Securities Llc New York NY 02/1996 Present
Ubs Securities Llc New York NY 08/2013 Present
Ubs Finanial Services Naples FL 05/2020 Present
  • 02/1996 → Present
    Ubs Securities Llc
    New York, NY
  • 08/2013 → Present
    Ubs Securities Llc
    New York, NY
  • 05/2020 → Present
    Ubs Finanial Services
    Naples, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-06-20
S63 Uniform Securities Agent State Law Examination 2008-07-31
  • S65 Uniform Investment Adviser Law Examination
    2023-06-20
  • S63 Uniform Securities Agent State Law Examination
    2008-07-31

View on SEC IAPD

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