Anthony J. Scolaro
Professional summary
Anthony Joseph Scolaro JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Anthony had worked at 7 firms, which includes UBS SECURITIES LLC, AXIOM CAPITAL MANAGEMENT INC., TUCKER ANTHONY INCORPORATED, SCHONFELD SECURITIES LLC, ZIONS DIRECT INC., DISCOUNT CORPORATION OF NEW YORK, L. F. ROTHSCHILD & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1998 - January 31, 2000
UBS SECURITIES LLC
September 24, 1996 - September 10, 1998
AXIOM CAPITAL MANAGEMENT, INC.
November 24, 1995 - October 4, 1996
TUCKER ANTHONY INCORPORATED
March 20, 1995 - July 19, 1995
SCHONFELD SECURITIES, LLC
August 18, 1993 - January 27, 1995
ZIONS DIRECT, INC.
November 22, 1989 - September 10, 1993
DISCOUNT CORPORATION OF NEW YORK
April 24, 1986 - January 31, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
September 21, 1983 - April 8, 1986
TUCKER ANTHONY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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