Michael Anthony Giacone

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-10-31
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED	2009-01-09

NJ RA
APPROVED

Since 2023-10-31
NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED

Since 2009-01-09

Branch Locations

Houston, TX • United States

1285 Avenue Of The Americas 15Th, 16Th, 17Th & 18Th, New York City, NY 10019 • United States

Westfield, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	New York	NY	01/2009	Present

01/2009 → Present

Ubs Financial Services Inc

New York, NY

Previous Registrations

2007-04-02 → 2009-01-13

Morgan Stanley & Co. Llc

New York, NY
2002-12-20 → 2007-04-02

Morgan Stanley Dw Inc.

New York, NY

New York, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-06-18

S63 Uniform Securities Agent State Law Examination

1987-06-18

Other Names

Mike Giacone

View on SEC IAPD