Nicholas Joseph Commisso

Ubs Financial Services Inc.

CRD 7678222

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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

Authority	Category	Status	Date
TX	RA	APPROVED	2024-07-04
CT	RA	APPROVED	2023-11-20

TX RA
APPROVED

Since 2024-07-04
CT RA
APPROVED

Since 2023-11-20

Branch Locations

One State Street 16Th Floor, Hartford, CT 06103 • 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

Organization	City	State	From	To
Ubs Financial Services, Inc	Hartford	CT	01/2023	Present
Personal Illness Unemployment	West Springfield	MA	05/2021	01/2023
University Of Massachusetts Amherst	Amherst	MA	08/2017	05/2021
Meadow Place Dental	East Longmeadow	MA	05/2017	12/2020
Holyoke Catholic High School	Holyoke	MA	08/2013	05/2017

01/2023 → Present

Ubs Financial Services, Inc

Hartford, CT
05/2021 → 01/2023

Personal Illness Unemployment

West Springfield, MA
08/2017 → 05/2021

University Of Massachusetts Amherst

Amherst, MA
05/2017 → 12/2020

Meadow Place Dental

East Longmeadow, MA
08/2013 → 05/2017

Holyoke Catholic High School

Holyoke, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-20

S66 Uniform Combined State Law Examination

2023-11-20

View on SEC IAPD

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