AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

John Patrick P. Spatola

UBS SECURITIES LLC
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4943904
JS

Professional summary

John Patrick P Spatola, who also goes by John P Spatola, John Spatola, John P Spootola, is a registered financial professional currently at UBS SECURITIES LLC located in Stamford, Connecticut.

John Patrick is registered as a RR (Registered Representative) and started their career in finance in 2006. John Patrick has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55, Series 25 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John P Spatola | John Spatola | John P Spootola

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) - BD

Click below to view John Patrick P Spatola's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 15, 2013 - Present

UBS SECURITIES LLC

Office #1: 600 Washington Blvd- Stm, Stamford, CT 06901
BD
CRD#: 7654
Stamford, CT
Past

October 4, 2011 - April 5, 2013

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

October 7, 2010 - June 8, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 7, 2006 - July 23, 2008

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

March 1, 2006 - December 12, 2007

SLK INDEX SPECIALISTS, LLC

BD
CRD#: 31306
NEW YORK, NY
Past

February 13, 2006 - March 6, 2006

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

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
(5/15/2013)
RR
Alaska
(5/15/2013)
RR
Arizona
(5/15/2013)
RR
Arkansas
(5/15/2013)
RR
California
(5/15/2013)
RR
Colorado
(5/15/2013)
RR
Connecticut
(5/15/2013)
RR
Delaware
(5/15/2013)
RR
District of Columbia
(5/15/2013)
RR
Florida
(5/15/2013)
RR
Georgia
(5/15/2013)
RR
Hawaii
(5/15/2013)
RR
Idaho
(5/15/2013)
RR
Illinois
(5/15/2013)
RR
Indiana
(5/15/2013)
RR
Iowa
(5/15/2013)
RR
Kansas
(5/15/2013)
RR
Kentucky
(5/15/2013)
RR
Louisiana
(5/15/2013)
RR
Maine
(5/15/2013)
RR
Maryland
(5/15/2013)
RR
Massachusetts
(5/15/2013)
RR
Michigan
(5/15/2013)
RR
Minnesota
(5/15/2013)
RR
Mississippi
(5/15/2013)
RR
Missouri
(5/15/2013)
RR
Montana
(5/15/2013)
RR
Nebraska
(5/15/2013)
RR
Nevada
(5/15/2013)
RR
New Hampshire
(5/15/2013)
RR
New Jersey
(5/15/2013)
RR
New Mexico
(5/15/2013)
RR
New York
(5/15/2013)
RR
North Carolina
(5/17/2013)
RR
North Dakota
(5/15/2013)
RR
Ohio
(5/16/2013)
RR
Oklahoma
(5/15/2013)
RR
Oregon
(5/15/2013)
RR
Pennsylvania
(5/15/2013)
RR
Puerto Rico
(5/15/2013)
RR
Rhode Island
(5/15/2013)
RR
South Carolina
(5/15/2013)
RR
South Dakota
(5/15/2013)
RR
Tennessee
(9/6/2022)
RR
Texas
(5/15/2013)
RR
Utah
(5/15/2013)
RR
Vermont
(5/15/2013)
RR
Virginia
(5/15/2013)
RR
Washington
(5/15/2013)
RR
West Virginia
(5/15/2013)
RR
Wisconsin
(5/15/2013)
RR
Wyoming
(5/15/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/7/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 8/30/2006
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2020
General Securities Principal Examination
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 BX, 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
New York Stock Exchange

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
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
MILLER, MAURA ANNECHIEF COMPLIANCE OFFICER4444187
NIETO, CALLUMPRINCIPAL OPERATIONS OFFICER6765482
VAN TASSEL, JAMES CMANAGING DIRECTOR, US EQUITIES RESEARCH2558212

Disclosures

Regulatory Event309
Civil Event4
Arbitration4

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#: 7654Stamford, CT 06901

TRUST BUT VERIFY

Monitor John Patrick Spatola

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Randy Brickman
Randy BrickmanAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
NORTH WOODMERE, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.