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Stephanie Castano

Ubs Financial Services Inc.

Guttenberg, NJ

Weehawken, NJ

CRD 7285820

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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

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-07-03
  • NJ RA
    APPROVED
    Since 2023-07-03

Branch Locations

Guttenberg, NJ • United States

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • 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
Unemployed Guttenberg NJ 03/2020 10/2020
The Garden Elizabeth NJ 02/2020 03/2020
Orale Mexican Kitchen Hoboken NJ 10/2018 02/2020
Chilis Secaucus NJ 05/2016 10/2018
Student Mahwah NJ 08/2010 05/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 10/2020 03/2022
Northwestern Mutual Investment Services Llc Annandale NJ 07/2021 03/2022
O Haras Downtown Jersey City NJ 10/2021 09/2022
The Original Pancake House Edgewater NJ 10/2022 12/2022
Ubs Financial Services Inc. Weehawken NJ 01/2023 Present
  • 03/2020 → 10/2020
    Unemployed
    Guttenberg, NJ
  • 02/2020 → 03/2020
    The Garden
    Elizabeth, NJ
  • 10/2018 → 02/2020
    Orale Mexican Kitchen
    Hoboken, NJ
  • 05/2016 → 10/2018
    Chilis
    Secaucus, NJ
  • 08/2010 → 05/2017
    Student
    Mahwah, NJ
  • 10/2020 → 03/2022
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/2021 → 03/2022
    Northwestern Mutual Investment Services Llc
    Annandale, NJ
  • 10/2021 → 09/2022
    O Haras Downtown
    Jersey City, NJ
  • 10/2022 → 12/2022
    The Original Pancake House
    Edgewater, NJ
  • 01/2023 → Present
    Ubs Financial Services Inc.
    Weehawken, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-30
S63 Uniform Securities Agent State Law Examination 2021-09-28
  • S66 Uniform Combined State Law Examination
    2023-06-30
  • S63 Uniform Securities Agent State Law Examination
    2021-09-28
Other Names
  • Stephanie Castano
  • Steph Castano

View on SEC IAPD

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