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Erik Casper Sermarini

Ubs Financial Services Inc.

Delray, FL

Princeton, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-04-10
PA RA APPROVED 2021-11-01
TX RA APPROVED_RES 2018-03-20
NJ RA APPROVED 2016-05-20
  • FL RA
    APPROVED
    Since 2025-04-10
  • PA RA
    APPROVED
    Since 2021-11-01
  • TX RA
    APPROVED_RES
    Since 2018-03-20
  • NJ RA
    APPROVED
    Since 2016-05-20

Branch Locations

Delray, FL • United States

100 Overlook Center Suite 303, Princeton, NJ 08540 • 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
Stifel Nicolaus & Co Inc Princeton NJ 02/2011 05/2016
Ubs Financial Services Inc Princeton NJ 05/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-02
S63 Uniform Securities Agent State Law Examination 1995-09-22
  • S66 Uniform Combined State Law Examination
    2002-07-02
  • S63 Uniform Securities Agent State Law Examination
    1995-09-22

View on SEC IAPD

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