Lissette Resnick

UBS ASSET MANAGEMENT (US)

New York, NY 10019

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CRD#: 2497394

Professional summary

Lissette Resnick, who also goes by Lissette Rosario, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Lissette is registered as a RR (Registered Representative) and started their career in finance in 1995. Lissette has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lissette Rosario

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 Lissette Resnick'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

May 24, 2021 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 7th Avenue, New York, NY 10019

CRD#: 583

New York, NY

Past

January 3, 2011 - December 2, 2020

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

New York, NY

Past

April 29, 2005 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

JERSEY CITY, NJ

Past

June 22, 2004 - August 26, 2004

JULIUS BAER SECURITIES INC.

CRD#: 1141

NEW YORK, NY

Past

May 1, 2001 - March 3, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 21, 2000 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

November 1, 1996 - October 21, 1998

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

August 30, 1995 - January 26, 1996

YAMATANE SECURITIES (AMERICA) INC.

CRD#: 18347

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(5/24/2021)

Exams

State Security Law Exam

Series 63

Date: 10/23/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	DIRECT OWNER
BELASCO, MICHAEL SCOTT	PRESIDENT AND CEO	4649742
HORAN, KATHLEEN ELIZABETH	CHIEF FINANCIAL OFFICER - FINOP	5188874
KEMPER, MARK FREDERICK	SECRETARY AND CHIEF LEGAL COUNSEL	4347419
MULLEN, BARRY JOHN	CHIEF COMPLIANCE OFFICER	1814958

Disclosures

Regulatory Event

Red Flags

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Lissette Resnick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lissette Resnick's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMORGAN DISTRIBUTION SERVICES, INC.

JULIUS BAER SECURITIES INC.

J.P. MORGAN SECURITIES INC.

JPMSI

COREBRIDGE CAPITAL SERVICES, INC.

YAMATANE SECURITIES (AMERICA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/29/1995

Series 24

Date: 4/20/1998

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UBS ASSET MANAGEMENT (US) INC.

TRUST BUT VERIFY

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