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Cosmo John Fontana

Ubs Financial Services Inc.

Wall, NJ

CRD 1578028

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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
FL RA APPROVED 2021-11-02
TX RA APPROVED_RES 2018-06-27
NJ RA APPROVED 2008-10-07
  • FL RA
    APPROVED
    Since 2021-11-02
  • TX RA
    APPROVED_RES
    Since 2018-06-27
  • NJ RA
    APPROVED
    Since 2008-10-07

Branch Locations

2107 Route 34 Suite 102, Wall, NJ 07719 • 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 Warburg Llc Stamford CT 12/2000 Present
  • 12/2000 → Present
    Ubs Warburg Llc
    Stamford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-05
S63 Uniform Securities Agent State Law Examination 1988-06-02
  • S66 Uniform Combined State Law Examination
    2008-10-05
  • S63 Uniform Securities Agent State Law Examination
    1988-06-02

View on SEC IAPD

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LPL FINANCIAL LLC
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EQUITABLE ADVISORS, LLC

Nearby Investors

NEIL ROBERT MONTESANO
MATHEW DAVID SOLOMON
Peter Van Alstine

Nearby Offices

LPL FINANCIAL LLC · WALL, NJ
EAGLE STRATEGIES LLC · WALL, NJ
EAGLE STRATEGIES LLC · WALL, NJ

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