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Maria Laura Caputto

Ubs Financial Services Inc.

Coral Gables, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-06-19
WY RA APPROVED 2023-06-12
  • FL RA
    APPROVED
    Since 2023-06-19
  • WY RA
    APPROVED
    Since 2023-06-12

Branch Locations

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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
Hsbc Bank Argentina Sa Buenos Aires 05/2007 12/2017
Hsbc Bank Usa, N.A. Miami FL 01/2018 06/2023
Hsbc Securities (Usa) Inc. Miami FL 01/2018 06/2023
Ubs Financial Services Inc. Coral Gables FL 06/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-19
  • S66 Uniform Combined State Law Examination
    2018-05-19
Other Names
  • Maria Laura Caputto
  • Laura Caputo
  • Marialaura Caputto

View on SEC IAPD

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