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Nicholas Joseph Pepe

Ubs Financial Services Inc.

Essex Fells, NJ

Paramus, NJ

Naples, FL

CRD 1630336

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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
NV RA APPROVED 2024-07-31
NY RA APPROVED 2023-10-10
FL RA APPROVED 2021-10-29
TX RA APPROVED 2011-08-08
NJ RA APPROVED 2009-08-26
  • NV RA
    APPROVED
    Since 2024-07-31
  • NY RA
    APPROVED
    Since 2023-10-10
  • FL RA
    APPROVED
    Since 2021-10-29
  • TX RA
    APPROVED
    Since 2011-08-08
  • NJ RA
    APPROVED
    Since 2009-08-26

Branch Locations

Essex Fells, NJ • United States

61 South Paramus Road 4Th Floor, Paramus, NJ 07652 • United States

Naples, FL • 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 Paramus NJ 03/2009 Present
  • 03/2009 → Present
    Ubs
    Paramus, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-25
S63 Uniform Securities Agent State Law Examination 1987-02-16
  • S66 Uniform Combined State Law Examination
    2009-08-25
  • S63 Uniform Securities Agent State Law Examination
    1987-02-16
Other Names
  • Nicholas Pepe

View on SEC IAPD

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