Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RAYMOND LOUIS NEPA
CRD#: 1004368
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 Grant StreetSuite 4650
PITTSBURGH, PA 15219
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - Present (12 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - Present (30 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1987 - 1995 (7 years)BRICHARDS, LYNCH & PEGHER, INC. (CRD# 8230)1982 - 1987 (5 years)
Disclosure(s)
View By:
3/3/2000
Customer Dispute
Denied
5/25/1989
Regulatory
Final
License(s)

State Registrations

B
Arizona 11/21/2013
B
New Jersey 9/18/2019
B
California 1/28/1995
B
New Mexico 11/1/2013
B
Colorado 5/3/1999
B
New York 6/29/2007
B
Connecticut 12/5/2024
B
North Carolina 1/28/1995
B
Florida 1/28/1995
B
Ohio 1/28/1995
B
Georgia 1/28/1995
B
Oklahoma 2/28/2022
B
Idaho 11/5/2013
B
Pennsylvania 1/28/1995
B
Illinois 1/28/1995
IA
Pennsylvania 8/31/2012
B
Iowa 11/12/2020
B
South Carolina 1/28/1995
B
Kentucky 8/24/2023
B
Tennessee 11/5/2013
B
Louisiana 7/22/2013
B
Texas 1/28/1995
B
Maine 6/27/2000
B
Utah 2/6/2015
B
Maryland 1/28/1995
B
Virginia 1/28/1995
B
Massachusetts 1/28/1995
B
Washington 8/28/2000
B
Michigan 5/24/1999
B
West Virginia 1/28/1995
B
Missouri 12/7/2005

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 Grant StreetSuite 4650, PITTSBURGH, PA 15219
Registered with this firm since 8/31/2012
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 Grant StreetSuite 4650, PITTSBURGH, PA 15219
Registered with this firm since 1/28/1995
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/18/1987 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 04/29/1982 - 11/05/1987 RICHARDS, LYNCH & PEGHER, INC. (CRD#:8230)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.