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Josephine Maria Noto

Ubs Financial Services Inc.

Garden City, NY

Merrick, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-09-15
NY RA APPROVED 2021-08-13
  • TX RA
    APPROVED
    Since 2021-09-15
  • NY RA
    APPROVED
    Since 2021-08-13

Branch Locations

1055 Franklin Avenue Suite 300, Garden City, NY 11530 • United States

Merrick, NY • 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. Jericho NY 01/1995 05/2019
Morgan Stanley Garden City NY 08/2019 08/2021
Ubs Financial Services, Inc Garden City NY 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-05-01
S63 Uniform Securities Agent State Law Examination 1988-06-29
  • S65 Uniform Investment Adviser Law Examination
    2017-05-01
  • S63 Uniform Securities Agent State Law Examination
    1988-06-29
Other Names
  • Josephine Maria Cavallaro
  • Josephine Maria Noto
  • Josephine Noto

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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