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JOSEPH JAMES GUIDO
CRD#: 1422679
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 500 CAMPUS DRIVE
2ND FLOOR
FLORHAM PARK, NJ 07932
Registration History
199019952000200520102015202020252 FIRMS2008 - Present (16 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2008 (9 years)BG. R. PHELPS & CO., INC. (CRD# 173)1986 - 1990 (4 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2008 (6 years)
Disclosure(s)
View By:
5/2/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Connecticut 11/8/2022

B
New Jersey 4/25/2008

B
Florida 4/25/2008

IA
New Jersey 4/25/2008

B
Maryland 4/25/2008

B
New York 4/25/2008

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

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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)
500 CAMPUS DRIVE 2ND FLOOR, FLORHAM PARK, NJ 07932
Newton, NJ
Registered with this firm since 4/25/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
500 CAMPUS DRIVE 2ND FLOOR, FLORHAM PARK, NJ 07932
Newton, NJ
Registered with this firm since 4/25/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/08/2002 - 05/01/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FLORHAM PARK, NJ
B
08/27/1998 - 05/01/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FLORHAM PARK, NJ
B
09/24/1986 - 11/21/1990 G. R. PHELPS & CO., INC. (CRD#:173)
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B
Broker
IA
Investment Adviser
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.