Jerome Weinert
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.
Jerome Weinert was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 2003. Jerome had worked at 9 firms and has passed the Series 66, Series 63, Series 79TO, SIE 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
February 16, 2023 - February 4, 2025
UBS SECURITIES LLC
September 3, 2020 - December 20, 2022
CETERA INVESTMENT ADVISERS LLC
August 27, 2020 - December 20, 2022
CETERA INVESTMENT SERVICES LLC
March 6, 2018 - September 17, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 2018 - September 17, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 2016 - March 6, 2018
EQUITABLE ADVISORS, LLC
December 11, 2015 - March 6, 2018
EQUITABLE ADVISORS, LLC
June 3, 2013 - June 10, 2015
INTL FCSTONE CREDIT TRADING LLC
September 6, 2011 - May 16, 2013
CANTOR FITZGERALD & CO.
December 20, 2006 - March 14, 2011
MORGAN STANLEY DISTRIBUTION, INC.
January 7, 2003 - January 19, 2005
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
