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Sophia Rose Oliverio

Ubs Financial Services Inc.

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-12-04
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2019-06-19
NC RA APPROVED 2017-09-19
  • PA RA
    APPROVED
    Since 2023-12-04
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2019-06-19
  • NC RA
    APPROVED
    Since 2017-09-19

Branch Locations

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 Financial Services, Inc. Charlotte NC 06/2017 Present
University Of North Carolina At Chapel Hill Chapel Hill NC 06/2013 06/2017
  • 06/2017 → Present
    Ubs Financial Services, Inc.
    Charlotte, NC
  • 06/2013 → 06/2017
    University Of North Carolina At Chapel Hill
    Chapel Hill, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-11
  • S66 Uniform Combined State Law Examination
    2017-09-11
Other Names
  • Sophia Oliverio
  • Sophia Rose Oliverio

View on SEC IAPD

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