MS
Michael J. Signoriello
UBS FINANCIAL SERVICES
Weehawken, NJ 07086
Some features on this profile are disabled
CRD#: 3086240
MS
Professional summary
Michael Joseph Signoriello, who also goes by Michael J Signoriello, Michael Joseph Signoriello, Michael Signoriello, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in Weehawken, New Jersey and UBS SECURITIES LLC located in Weehawken, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 3 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael J Signoriello | Michael Joseph Signoriello | Michael Signoriello
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Signoriello's 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®
NoneExperience
Current
July 12, 2013 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 1000 Harbor Blvd 3rd Floor, Weehawken, NJ 07086Office #2: 11 Madison Avenue, New York, NY 10010RIA
BD
CRD#: 8174
Weehawken, NJ
Current
October 27, 2020 - Present
UBS SECURITIES LLC
Office #1: 1000 Harbor Blvd., Weehawken, NJ 07086Office #2: 11 Madison Avenue, New York, NY 10010BD
CRD#: 7654
Weehawken, NJ
Current
May 4, 2026 - Present
BOK FINANCIAL SECURITIES, INC.
Office #1: One Williams Center, Tulsa, OK 74172RIA
BD
CRD#: 17530
Tulsa, OK
Past
June 16, 2006 - November 10, 2014
UBS SECURITIES LLC
BD
CRD#: 7654
WEEHAWKEN, NJ
Past
November 9, 1998 - June 28, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BF
BOK FINANCIAL SECURITIES, INC.
BANCALBUQUERQUE INVESTMENT CENTER | OPPENHEIM, DIVISION OF BOSC, INC. | MOBANK | E-SPECTRUM ADVISORS | CSBT INVESTMENT CENTER | COLORADO STATE BANK AND TRUST | BOSC, INC. | BOSC INC. | BOKFS | BOK FINANCIAL SECURITIES, INC. | BOK FINANCIAL SECURITIES | BOK FINANCIAL ADVISORS INVESTMENT CENTER | BOK FINANCIAL ADVISORS | BOK FINANCIAL | BANK OF TEXAS | BANK OF OKLAHOMA | BANK OF ARKANSAS | BANK OF ARIZONA | BANK OF ALBUQUERQUE | BANCTEXAS INVESTMENT CENTER | BANCOKLAHOMA INVESTMENT CENTER | BANCKANSAS CITY INVESTMENT CENTER | BANCARKANSAS INVESTMENT CENTER | BANCARIZONA INVESTMENT CENTER
CRD#: 17530 / SEC#: 801-53600, 8-35381
RIA
Registered Investment Advisory firm - SEC (1/28/1997 Approved)Arkansas
Registered Investment Advisory firm - SEC (9/26/2001 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/26/2005 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (4/8/2005 Terminated)Texas
Registered Investment Advisory firm - SEC (5/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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(1/10/2018)
RR
Alaska(1/10/2018)
RR
Arizona(1/10/2018)
RR
Arkansas(1/10/2018)
RR
California(1/10/2018)
RR
Colorado(1/10/2018)
RR
Connecticut(1/10/2018)
RR
Delaware(1/10/2018)
RR
District of Columbia(1/10/2018)
RR
Florida(1/10/2018)
RR
Georgia(1/10/2018)
RR
Hawaii(1/10/2018)
RR
Idaho(1/10/2018)
RR
Illinois(1/10/2018)
RR
Indiana(1/10/2018)
RR
Iowa(1/10/2018)
RR
Kansas(1/10/2018)
RR
Kentucky(1/10/2018)
RR
Louisiana(1/10/2018)
RR
Maine(1/10/2018)
RR
Maryland(1/10/2018)
RR
Massachusetts(1/10/2018)
RR
Michigan(1/10/2018)
RR
Minnesota(1/10/2018)
RR
Mississippi(1/10/2018)
RR
Missouri(1/10/2018)
RR
Montana(1/10/2018)
RR
Nebraska(1/10/2018)
RR
Nevada(1/10/2018)
RR
New Hampshire(1/10/2018)
RR
New Jersey(7/12/2013)
RR
New Mexico(1/10/2018)
RR
New York(7/12/2013)
RR
North Carolina(1/10/2018)
RR
North Dakota(1/10/2018)
RR
Ohio(1/10/2018)
RR
Oklahoma(1/10/2018)
RR
Oregon(1/10/2018)
RR
Pennsylvania(1/10/2018)
RR
Puerto Rico(1/10/2018)
RR
Rhode Island(1/10/2018)
RR
South Carolina(1/10/2018)
RR
South Dakota(1/10/2018)
RR
Tennessee(1/10/2018)
RR
Texas(1/10/2018)
RR
Utah(1/10/2018)
RR
Vermont(1/10/2018)
RR
Virgin Islands(1/10/2018)
RR
Virginia(1/10/2018)
RR
Washington(1/10/2018)
RR
West Virginia(1/10/2018)
RR
Wisconsin(1/10/2018)
RR
Wyoming(1/10/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/4/2026
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
BF
BOK FINANCIAL SECURITIES, INC.
BANCALBUQUERQUE INVESTMENT CENTER | OPPENHEIM, DIVISION OF BOSC, INC. | MOBANK | E-SPECTRUM ADVISORS | CSBT INVESTMENT CENTER | COLORADO STATE BANK AND TRUST | BOSC, INC. | BOSC INC. | BOKFS | BOK FINANCIAL SECURITIES, INC. | BOK FINANCIAL SECURITIES | BOK FINANCIAL ADVISORS INVESTMENT CENTER | BOK FINANCIAL ADVISORS | BOK FINANCIAL | BANK OF TEXAS | BANK OF OKLAHOMA | BANK OF ARKANSAS | BANK OF ARIZONA | BANK OF ALBUQUERQUE | BANCTEXAS INVESTMENT CENTER | BANCOKLAHOMA INVESTMENT CENTER | BANCKANSAS CITY INVESTMENT CENTER | BANCARKANSAS INVESTMENT CENTER | BANCARIZONA INVESTMENT CENTER
CRD#: 17530 / SEC#: 801-53600, 8-35381
RIA
Registered Investment Advisory firm - SEC (1/28/1997 Approved)Arkansas
Registered Investment Advisory firm - SEC (9/26/2001 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/26/2005 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (4/8/2005 Terminated)Texas
Registered Investment Advisory firm - SEC (5/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Contact information
Main Address
One Williams Center Plaza Southeast, Tulsa, OK 74102
Mailing Address
P.o. Box 2300, Tulsa, OK 74192
Phone number
(918) 588-6000
Established
Oklahoma since 12/23/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
165
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOK FINANCIAL CORPORATION | DIRECT BENEFICIAL OWNER | |
| DEAN, BRETT ALAN | PRESIDENT | 1716141 |
| DODSON, CATHERINE JOANNE | CFO/FINOP | 6857597 |
| GALLATIN, THOMAS COY | EXECUTIVE DIRECTOR, ENERGY BANKING | 5971928 |
| GRAUER, SCOTT BRADLEY | CEO, CHAIRMAN | 1509326 |
| MAHANEY, MINDY MARGARET | BOKFS BOARD MEMBER | 6403627 |
| PARRISH, REBECCA ROSE | CHIEF COMPLIANCE OFFICER | 6273251 |
| SHAW, JAMES AUGUSTUS | SVP, DIRECTOR OF RETAIL SALES | 1264136 |
| STEELE, JAMES BRADFORD | SVP, CHIEF OPERATING OFFICER | 6317520 |
| SWANSON, JON CRAIG | BOKFS BOARD MEMBER | 5010899 |
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 835,622,979 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
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.
