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JR

Jerome L. Raffaldini

UBS ASSET MANAGEMENT (US)
New York, NY 10019
Some features on this profile are disabled
CRD#: 1576348
JR

Professional summary

Jerome Lino Raffaldini, who also goes by Jerome L Raffaldine II, Jay Raffaldini, Jerome L Raffaldini Ii, Jerome Lino Raffaldini Ii, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Jerome is registered as a RR (Registered Representative) and started their career in finance in 1986. Jerome has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 16, Series 24, Series 53 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jerome L Raffaldine Ii | Jay Raffaldini | Jerome L Raffaldini Ii | Jerome Lino Raffaldini Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerome Lino Raffaldini's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 18, 2013 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 Seventh Avenue, New York, NY 10019
BD
CRD#: 583
New York, NY
Past

December 18, 2002 - July 29, 2004

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

December 24, 1987 - January 22, 1991

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

November 25, 1986 - December 24, 1987

ASHLEY SECURITIES CORPORATION

BD
CRD#: 15582

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/15/2013)
RR
Alaska
(7/15/2013)
RR
Arizona
(7/15/2013)
RR
Arkansas
(7/15/2013)
RR
California
(7/15/2013)
RR
Colorado
(7/15/2013)
RR
Connecticut
(7/15/2013)
RR
Delaware
(7/15/2013)
RR
District of Columbia
(7/15/2013)
RR
Florida
(7/15/2013)
RR
Georgia
(7/15/2013)
RR
Hawaii
(7/15/2013)
RR
Idaho
(7/15/2013)
RR
Illinois
(7/15/2013)
RR
Indiana
(7/15/2013)
RR
Iowa
(7/15/2013)
RR
Kansas
(7/15/2013)
RR
Kentucky
(7/15/2013)
RR
Louisiana
(7/15/2013)
RR
Maine
(7/15/2013)
RR
Maryland
(7/15/2013)
RR
Massachusetts
(7/15/2013)
RR
Michigan
(7/15/2013)
RR
Minnesota
(7/15/2013)
RR
Mississippi
(7/15/2013)
RR
Missouri
(7/15/2013)
RR
Montana
(7/15/2013)
RR
Nebraska
(7/15/2013)
RR
Nevada
(7/15/2013)
RR
New Hampshire
(7/15/2013)
RR
New Jersey
(7/15/2013)
RR
New Mexico
(7/15/2013)
RR
New York
(7/15/2013)
RR
North Carolina
(7/16/2013)
RR
North Dakota
(7/15/2013)
RR
Ohio
(7/16/2013)
RR
Oklahoma
(7/15/2013)
RR
Oregon
(7/15/2013)
RR
Pennsylvania
(7/15/2013)
RR
Puerto Rico
(7/15/2013)
RR
Rhode Island
(7/15/2013)
RR
South Carolina
(7/15/2013)
RR
South Dakota
(7/15/2013)
RR
Tennessee
(7/15/2013)
RR
Texas
(7/15/2013)
RR
Utah
(7/15/2013)
RR
Vermont
(7/15/2013)
RR
Virgin Islands
(7/15/2013)
RR
Virginia
(7/15/2013)
RR
Washington
(7/15/2013)
RR
West Virginia
(7/15/2013)
RR
Wisconsin
(7/15/2013)
RR
Wyoming
(7/15/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/14/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 16
Date: 12/20/1986
NYSE Supervisory Analyst Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/2014
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/1/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/19/1986
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.

CRD#: 583 / SEC#: , 8-21901

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583New York, NY 10019

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