Gerald S. Hodes
Professional summary
Gerald Sanford Hodes was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gerald is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, Gerald had worked at 5 firms, which includes UBS INTERNATIONAL INC., UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., JNT INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2002 - July 29, 2002
UBS INTERNATIONAL INC.
November 21, 1991 - June 1, 2002
UBS FINANCIAL SERVICES INC.
October 8, 1991 - June 1, 2002
UBS FINANCIAL SERVICES INC.
January 12, 1983 - September 9, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 14, 1981 - February 1, 1983
THOMSON MCKINNON SECURITIES INC.
June 30, 1970 - February 15, 1972
JNT INVESTORS, INC.
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
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationPC
Date: 2/1/1981
AMEX Put and Call ExamSeries 1
Date: 8/31/1961
Registered Representative ExaminationSeries 00
Date: 4/28/1969
General Securities Principal ExaminationCurrent Firm
UBS INTERNATIONAL INC.
CRD#: 107726 / SEC#: , 8-53059
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | SHAREHOLDER | |
| BELAVAL, EUGENIO S | DIRECTOR | 1267012 |
| BURRI, RUDOLF | CHIEF OPERATING OFFICER/DIRECTOR | 4208377 |
| DODD, DAVID MARTIN | DIRECTOR | 1065148 |
| FREY, WILLIAM PATRICK | CFO | 2369814 |
| GONZALEZ, RICARDO ALBERTO JR | CEO/DIRECTOR/MUNI PRINCIPAL | 1460620 |
| SCAVO, JOSEPH FRANK | AML OFFICER | 1240820 |
| SULLIVAN, KATHLEEN FRANCES | ASSOCIATE DIRECTOR/CROP/SROP | 2330070 |
| TORREGIANO, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2753068 |
| TROTTA, ELAINE MARIE | CHIEF ADMINISTRATIVE OFFICER | 1048829 |
| UBINAS TAYLOR, CARLOS VERNER | DIRECTOR & CHAIRMAN OF THE BOARD | 1985568 |
Disclosures
| Regulatory Event | 3 |
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