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BRIAN WALTER FORMENTO
BRIAN W FORMENTO
CRD#: 1007710
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Princeton, NJ
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (15 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - Present (18 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2003 - 2006 (2 years)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)2003 - 2003 (<1 year)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2002 - 2003 (<1 year)BTWENTY-FIRST SECURITIES CORPOR... (CRD# 14461)1999 - 2000 (1 year)BDKB SECURITIES (USA) CORPORATION (CRD# 28333)1998 - 1998 (<1 year)BFUJI SECURITIES INC. (CRD# 19647)1997 - 1998 (<1 year)BPARIBAS CORPORATION (CRD# 15794)1989 - 1997 (8 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1986 - 1989 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1986 (4 years)
Disclosure(s)
View By:
8/3/2009
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 7/28/2006

B
Nevada 7/28/2006

B
Alaska 7/28/2006

B
New Hampshire 7/28/2006

B
Arizona 7/28/2006

B
New Jersey 7/28/2006

B
Arkansas 7/28/2006

IA
New Jersey 8/12/2009

B
California 7/28/2006

B
New Mexico 7/28/2006

B
Colorado 7/28/2006

B
New York 7/28/2006

B
Connecticut 7/28/2006

IA
New York 10/26/2021

B
Delaware 7/28/2006

B
North Carolina 7/28/2006

B
District of Columbia 7/28/2006

B
North Dakota 7/28/2006

B
Florida 7/28/2006

B
Ohio 7/31/2006

B
Georgia 7/28/2006

B
Oklahoma 7/28/2006

B
Hawaii 7/28/2006

B
Oregon 7/28/2006

B
Idaho 7/28/2006

B
Pennsylvania 7/28/2006

B
Illinois 7/28/2006

B
Puerto Rico 7/28/2006

B
Indiana 7/28/2006

B
Rhode Island 7/28/2006

B
Iowa 7/28/2006

B
South Carolina 7/28/2006

B
Kansas 7/28/2006

B
South Dakota 7/28/2006

B
Kentucky 7/28/2006

B
Tennessee 3/9/2010

B
Louisiana 7/28/2006

B
Texas 7/28/2006

B
Maine 7/28/2006

B
Utah 7/28/2006

B
Maryland 7/28/2006

B
Vermont 7/28/2006

B
Massachusetts 7/28/2006

B
Virgin Islands 3/15/2010

B
Michigan 7/28/2006

B
Virginia 7/28/2006

B
Minnesota 7/28/2006

B
Washington 7/28/2006

B
Mississippi 7/28/2006

B
West Virginia 7/28/2006

B
Missouri 7/28/2006

B
Wisconsin 7/28/2006

B
Montana 7/28/2006

B
Wyoming 7/28/2006

B
Nebraska 7/28/2006

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)
Princeton, NJ
1285 AVENUE OF THE AMERICAS 15 THRU 18TH FLOORS, NEW YORK, NY 10019
Registered with this firm since 8/12/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Princeton, NJ
1285 AVENUE OF THE AMERICAS 15 THRU 18TH FLOORS, NEW YORK, NY 10019
Registered with this firm since 7/28/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/21/2003 - 01/17/2006 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
05/30/2003 - 10/21/2003 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
B
06/21/2002 - 05/30/2003 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
11/03/1999 - 11/03/2000 TWENTY-FIRST SECURITIES CORPORATION (CRD#:14461) NEW YORK, NY
B
02/27/1998 - 10/07/1998 DKB SECURITIES (USA) CORPORATION (CRD#:28333)
B
10/09/1997 - 01/28/1998 FUJI SECURITIES INC. (CRD#:19647) NEW YORK, NY
B
09/12/1989 - 10/03/1997 PARIBAS CORPORATION (CRD#:15794) NEW YORK, NY
B
03/17/1986 - 08/07/1989 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
10/05/1981 - 04/08/1986 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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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.