Individual Firm
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ALFRED GERARD NOVOTH
AL NOVOTH
CRD#: 1371673
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1800 NORTH MILITARY TRAIL
SUITE 300
BOCA RATON, FL 33431
SUITE 300
BOCA RATON, FL 33431
View By:
6/5/2000
Customer Dispute
Denied
State Registrations
B
Arizona 12/17/2019
B
New Jersey 1/4/2011
B
California 5/11/2007
B
New York 5/11/2007
B
Connecticut 4/27/2009
B
Ohio 5/11/2007
B
Florida 5/14/2007
B
Pennsylvania 5/11/2007
IA
Florida 5/14/2007
B
Rhode Island 5/11/2007
B
Louisiana 2/3/2016
B
South Carolina 3/7/2022
B
Massachusetts 7/12/2018
IA
Texas 5/31/2019
B
Michigan 5/11/2007
B
Virginia 5/11/2007
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 5/14/2007
B
Registered with this firm since 5/11/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/23/2002 - 05/25/2007 | BOCA RATON, FL | |
B | 01/18/2002 - 05/25/2007 | BOCA RATON, FL | |
B | 03/19/1992 - 01/23/2002 | PURCHASE, NY | |
B | 05/07/1991 - 12/18/1991 | CEDAR RAPIDS, IA | |
B | 11/28/1989 - 04/03/1991 | PURCHASE, NY | |
B | 05/02/1988 - 12/05/1989 | NEW YORK, NY | |
B | 10/07/1985 - 01/04/1988 | ||
B | 07/16/1985 - 01/21/1986 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.