MF

Maria Ferrante

IAR
RR
maria a. ferrante,maria a. micelli,maria a. micelli-ferrante
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Maria Ferrante, who also goes by Maria A. Ferrante, Maria A. Micelli, Maria A. Micelli-ferrante, is a registered financial advisor at UBS FINANCIAL SERVICES INC. located in Los Angeles, California.

Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Maria has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Disclosures
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.

Advisor Information

ADVISOR PROFILE
Other Business
Haven Academy of the Arts / 343 Coral Circle El Segundo,CA 90245 / Other/ Education / Theatre Arts Education Program / Member of Board of Directors / / I attend Board Meetings every other month and help give input towards growing the organization, increasing donations and grants / Start Date 501 C3 3/21/16-8/31/18 As of 9/1/2022 - CFO. Advisory Roll and unpaid. CFO is not an authorized signer on any of the organizations accounts. CFO serves in an advisory capacity and reviews/signs the following for the organization: Annual Taxes, Grant contracts, insurance policies, worker's Comp forms, Audits.
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (46)
Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming
RR
Alabama (6/22/2022)
RR
Alaska (11/23/2015)
RR
Arizona (11/23/2015)
RR
California (11/23/2015)
IAR
California (11/23/2015)
RR
Colorado (11/23/2015)
RR
Connecticut (6/22/2022)
RR
Delaware (3/9/2022)
RR
District of Columbia (6/22/2022)
RR
Florida (11/23/2015)
RR
Georgia (11/23/2015)
RR
Hawaii (10/10/2017)
RR
Idaho (11/23/2015)
RR
Illinois (11/23/2015)
RR
Indiana (6/22/2022)
RR
Iowa (6/22/2022)
RR
Kansas (6/22/2022)
RR
Louisiana (6/22/2022)
RR
Maryland (4/5/2022)
RR
Massachusetts (11/23/2015)
RR
Michigan (6/2/2020)
RR
Minnesota (11/23/2015)
RR
Mississippi (6/22/2022)
RR
Missouri (6/22/2022)
RR
Montana (11/23/2015)
RR
Nevada (11/23/2015)
RR
New Hampshire (6/22/2022)
RR
New Jersey (11/23/2015)
RR
New Mexico (11/23/2015)
RR
New York (11/23/2015)
RR
North Carolina (11/23/2015)
RR
Ohio (4/7/2022)
RR
Oklahoma (6/22/2022)
RR
Oregon (11/23/2015)
RR
Pennsylvania (6/14/2021)
RR
Rhode Island (6/22/2022)
RR
South Carolina (6/22/2022)
RR
Tennessee (7/8/2021)
RR
Texas (11/23/2015)
IAR
Texas (11/23/2015)
RR
Utah (12/21/2021)
RR
Vermont (6/22/2022)
RR
Virginia (6/22/2022)
RR
Washington (11/23/2015)
RR
West Virginia (6/22/2022)
RR
Wisconsin (6/22/2022)
SRO REGISTRATIONS (10)
RR
BOX Exchange LLC APPROVED
RR
Cboe Exchange, Inc. APPROVED
RR
FINRA APPROVED
RR
NYSE American LLC APPROVED
RR
NYSE Arca, Inc. APPROVED
RR
NYSE Chicago, Inc. APPROVED
RR
Nasdaq ISE, LLC APPROVED
RR
Nasdaq PHLX LLC APPROVED
RR
Nasdaq Stock Market APPROVED
RR
New York Stock Exchange APPROVED

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYERS
RIA
UBS FINANCIAL SERVICES INC. (#8174)
2000 Avenue Of The Stars, Los Angeles, CA, 90067
11/23/2015 - Current
BD
UBS FINANCIAL SERVICES INC. (#8174)
2000 Avenue Of The Stars, Los Angeles, CA, 90067
11/23/2015 - Current
PREVIOUS EMPLOYERS (9)
RIA
CREDIT SUISSE SECURITIES (USA) LLC (#816)
6/7/2010 - 12/18/2015
Los Angeles, CA
BD
CREDIT SUISSE SECURITIES (USA) LLC (#816)
5/14/2010 - 12/18/2015
Los Angeles, CA
RIA
UBS FINANCIAL SERVICES INC. (#8174)
11/17/2008 - 5/20/2010
Los Angeles, CA
BD
UBS FINANCIAL SERVICES INC. (#8174)
9/17/2008 - 5/20/2010
Los Angeles, CA
BD
UBS INTERNATIONAL INC. (#107726)
4/20/2005 - 11/11/2008
New York, NY
BD
JULIUS BAER SECURITIES INC. (#1141)
11/17/2004 - 4/1/2005
New York, NY
BD
CITY NATIONAL SECURITIES, INC. (#103705)
1/21/2003 - 2/18/2004
Los Angeles, CA
BD
UBS INTERNATIONAL INC. (#107726)
9/19/2002 - 10/30/2002
New York, NY
BD
UBS SECURITIES LLC (#7654)
9/26/2000 - 12/31/2001
New York, NY
MF
Claim Profile

Maria Ferrante

IAR
RR
Experience: 23 years / 6 firms
CRD#: 4219199


LOCATION
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