Adaly M. Tavares Delacruz
Professional summary
Adaly Maria Tavares Delacruz, who also goes by Adaly De La Cruz, Adaly Tavares, Adaly Maria Tavares De La Cruz, Adaly Tavares Delacruz, Adaly Maria Tavaresdelacruz, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in Weehawken, New Jersey and UBS SECURITIES LLC located in New York, New York.
Adaly is registered as a RR (Registered Representative) and started their career in finance in 2019. Adaly has worked at 3 firms and has passed the Series 63, Series 99TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adaly Maria Tavares Delacruz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2022 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 1200 Harbor Boulevard, Weehawken, NJ 07086February 26, 2025 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010December 17, 2019 - May 7, 2022
J.P. MORGAN SECURITIES 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
(5/20/2022)
Exams
Series 99TO
Date: 2/26/2025
Operations Professional ExaminationSeries 6TO
Date: 12/17/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current 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
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