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JOSEPH WIESENFELD
CRD#: 1585000
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 LINCOLN HARBOR
1000 & 1200 LINCOLN HARBOR BLVD
WEEHAWKEN, NJ 07086
Registration History
200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (15 years)BUBS SECURITIES LLC (CRD# 7654)2006 - 2008 (2 years)BUBS SERVICES USA LLC (CRD# 46330)2003 - 2006 (2 years)
Disclosure(s)
View By:
7/26/2018
Financial
Final
4/23/2018
Financial
Pending
License(s)

State Registrations

IA
New York 10/26/2021

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 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)
LINCOLN HARBOR 1000 & 1200 LINCOLN HARBOR BLVD, WEEHAWKEN, NJ 07086
Airmont, NY
Registered with this firm since 10/26/2021

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
LINCOLN HARBOR 1000 & 1200 LINCOLN HARBOR BLVD, WEEHAWKEN, NJ 07086
Airmont, NY
Registered with this firm since 10/5/2009

Previous Registration(s)
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B
06/27/2006 - 10/13/2008 UBS SECURITIES LLC (CRD#:7654) NEW YORK, NY
B
09/05/2003 - 08/22/2006 UBS SERVICES USA LLC (CRD#:46330) WEEHAWKEN, NJ
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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.