Timothy J. Ruberti
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Joseph Ruberti, who also goes by Tim Joseph Ruberti, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 8 firms and has passed the Series 66, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2011 - February 1, 2013
UBS SECURITIES LLC
March 3, 2011 - June 10, 2011
MF GLOBAL INC.
August 5, 2009 - February 18, 2011
COHEN & COMPANY SECURITIES, LLC
January 5, 2009 - July 16, 2009
BEDROK SECURITIES LLC
March 29, 2004 - December 31, 2008
GOLDMAN SACHS & CO. LLC
September 5, 2002 - March 22, 2004
KESSLER & COMPANY INVESTMENTS, INC.
September 17, 1996 - September 15, 1999
REUTERS C CORPORATION
May 23, 1994 - January 15, 1996
STORMHARBOUR SECURITIES LP
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 |
Red Flags
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