Stephanie J. Scarlata
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.
Stephanie Jane Scarlata was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1988. Stephanie had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
November 6, 2001 - September 3, 2024
UBS ASSET MANAGEMENT (US) INC.
January 27, 1992 - September 27, 2001
INVESCO CAPITAL MARKETS, INC.
March 26, 1991 - September 5, 1991
CINCINNATI ANALYSTS, INC.
February 9, 1989 - April 11, 1991
LEHMAN BROTHERS INC.
November 10, 1988 - February 28, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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