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John P Rufo

Ubs Financial Services Inc.

Newtown, PA

Conshocken, PA

Conshohocken, PA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2015-09-02
  • PA RA
    APPROVED
    Since 2015-09-02

Branch Locations

411 South State St., Newtown, PA 18940 • United States

101 West Elm Street Suite 200, Conshocken, PA 19428 • United States

101 West Elm Street, Conshohocken, PA 19428 • 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 Financial Services Inc. Phildelphia PA 09/2015 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-10
S63 Uniform Securities Agent State Law Examination 1990-11-28
  • S65 Uniform Investment Adviser Law Examination
    1994-06-10
  • S63 Uniform Securities Agent State Law Examination
    1990-11-28
Other Names
  • John Paul Rufo

View on SEC IAPD

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