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MZ

Mark Zaino

Some features on this profile are disabled
CRD#: 4366406
MZ

Professional summary

Mark Zaino was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Mark had worked at 2 firms, which includes UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 16, 2006 - December 20, 2006

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 5, 2001 - January 16, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2001
General Securities Representative Examination

Current Firm

US
UBS SECURITIES LLC
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK

CRD#: 7654 / SEC#: 801-67178, 8-22651

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
11 Madison Avenue, New York, NY 10010
Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086
Phone number
(201) 352-3000
Established
Delaware since 06/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PART 2 OF FORM ADV (MARCH 27, 2012) (3/27/2012)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INCMEMBER, VOTING
CASAVECHIA, RICHARD MICHAELMANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING4732235
DIMARCO, PATRICK MCHIEF COMPLIANCE OFFICER4549136
EBERT, MICHAEL JPRESIDENT AND CHAIR OF THE BOARD4556059
HAZELWOOD, TRICIAMANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES4232035
LOFTUS, MICHAEL LMANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS4176467
MATTONE, RALPH MICHAELPRINCIPAL FINANCIAL OFFICER1840894
NIETO, CALLUMPRINCIPAL OPERATIONS OFFICER6765482
VAN TASSEL, JAMES CMANAGING DIRECTOR, US EQUITIES RESEARCH2558212

Disclosures

Regulatory Event308
Civil Event4
Arbitration3

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.

Company Information

UBS SECURITIES LLC

CRD#: 7654

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