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JOSE ALBERTO CACICEDO
JOE CACICEDO, JOSE CACICEDO
CRD#: 1585370
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 South East 2nd Street
25th floor
Miami, FL 33131
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BUBS INTERNATIONAL INC. (CRD# 107726)2009 - 2010 (<1 year)BSTANCHART SECURITIES INTERNATI... (CRD# 145126)2008 - 2009 (1 year)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2004 - 2005 (1 year)
Disclosure(s)
View By:
5/10/2010
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/23/2024

B
Ohio 2/5/2024

B
California 9/7/2021

B
Puerto Rico 9/7/2021

B
Colorado 6/24/2019

B
South Dakota 3/5/2021

B
Delaware 9/9/2021

B
Texas 10/19/2020

B
District of Columbia 9/10/2021

IA
Texas 9/10/2021

B
Florida 1/1/2010

B
Virgin Islands 8/25/2023

IA
Florida 3/11/2010

B
Washington 1/3/2025

B
Massachusetts 9/8/2021

B
Wyoming 2/21/2024

B
New York 3/9/2010

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)
100 South East 2nd Street 25th floor, Miami, FL 33131
Registered with this firm since 3/11/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 South East 2nd Street 25th floor, Miami, FL 33131
Registered with this firm since 1/1/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/06/2009 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) NEW YORK, NY
B
02/29/2008 - 03/18/2009 STANCHART SECURITIES INTERNATIONAL, INC. (CRD#:145126) MIAMI, FL
B
01/19/2004 - 09/30/2005 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) MINNEAPOLIS, MN
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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.