Jose C. Decastro
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.
Jose Cecilio Decastro was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1998. Jose had worked at 3 firms and has passed the Series 65, 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 3, 2002 - June 20, 2008
UBS INTERNATIONAL INC.
October 19, 2001 - June 3, 2002
UBS FINANCIAL SERVICES INC.
October 20, 1998 - November 15, 2001
LEHMAN BROTHERS 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
Current 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 |
Red Flags
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