NR
Nicholas J. Rossi
UBS SECURITIES LLC
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 6509830
NR
Professional summary
Nicholas James Rossi, who also goes by Nicholas J Rossi, is a registered financial professional currently at UBS SECURITIES LLC located in Los Angeles, California.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2016. Nicholas has worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas J Rossi
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas James Rossi's 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®
NoneExperience
Current
September 29, 2023 - Present
UBS SECURITIES LLC
Office #1: 2000 Avenue Of The Stars 12th Floor-ste 1200s, Los Angeles, CA 90067BD
CRD#: 7654
Los Angeles, CA
Past
August 8, 2016 - September 29, 2023
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
LOS ANGELES, CA
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(2/28/2024)
RR
Alaska(2/28/2024)
RR
Arizona(2/28/2024)
RR
Arkansas(2/28/2024)
RR
California(2/27/2024)
RR
Colorado(2/28/2024)
RR
Connecticut(2/28/2024)
RR
Delaware(2/28/2024)
RR
District of Columbia(2/28/2024)
RR
Florida(2/28/2024)
RR
Georgia(2/28/2024)
RR
Hawaii(2/28/2024)
RR
Idaho(2/28/2024)
RR
Illinois(2/28/2024)
RR
Indiana(2/28/2024)
RR
Iowa(2/28/2024)
RR
Kansas(2/28/2024)
RR
Kentucky(2/28/2024)
RR
Louisiana(2/28/2024)
RR
Maine(2/28/2024)
RR
Maryland(2/28/2024)
RR
Massachusetts(2/28/2024)
RR
Michigan(2/28/2024)
RR
Minnesota(2/28/2024)
RR
Mississippi(2/28/2024)
RR
Missouri(2/28/2024)
RR
Montana(2/28/2024)
RR
Nebraska(2/28/2024)
RR
Nevada(2/28/2024)
RR
New Hampshire(2/28/2024)
RR
New Jersey(2/28/2024)
RR
New Mexico(2/28/2024)
RR
New York(2/28/2024)
RR
North Carolina(2/28/2024)
RR
North Dakota(2/28/2024)
RR
Ohio(2/28/2024)
RR
Oklahoma(2/28/2024)
RR
Oregon(2/28/2024)
RR
Pennsylvania(2/28/2024)
RR
Puerto Rico(2/28/2024)
RR
Rhode Island(2/28/2024)
RR
South Carolina(2/28/2024)
RR
South Dakota(2/28/2024)
RR
Tennessee(2/28/2024)
RR
Texas(2/28/2024)
RR
Utah(2/28/2024)
RR
Vermont(2/28/2024)
RR
Virginia(2/28/2024)
RR
Washington(2/28/2024)
RR
West Virginia(2/28/2024)
RR
Wisconsin(2/28/2024)
RR
Wyoming(2/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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.
