Individual Firm
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JOSEPH P. KATZAROFF
JOSEPH PATRICK KATZAROFF
CRD#: 1811119
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
IRVINE, CA 92618
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6/1/2023
Customer Dispute
Denied
4/25/2016
Customer Dispute
Denied
5/18/1999
Customer Dispute
Settled
3/3/1999
Customer Dispute
Settled
State Registrations
B
Alabama 1/30/2003
B
Michigan 1/8/2009
B
Alaska 12/15/2022
B
Minnesota 10/25/2004
B
Arizona 9/5/1995
B
Missouri 7/5/2006
B
Arkansas 3/20/2017
B
Montana 1/21/2011
B
California 8/23/1988
B
Nevada 4/22/1991
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California 7/8/1997
B
New Jersey 2/3/2010
B
Colorado 6/5/1998
B
New Mexico 1/6/2009
B
Connecticut 1/24/2022
B
New York 2/15/2000
B
Delaware 2/17/2023
B
North Carolina 1/12/2009
B
District of Columbia 10/15/2020
B
Ohio 2/12/2021
B
Florida 11/20/1997
B
Oklahoma 4/4/2022
B
Georgia 12/4/1997
B
Oregon 6/17/1999
B
Hawaii 8/31/2022
B
South Carolina 3/29/2007
B
Idaho 11/2/2007
B
Tennessee 5/6/2016
B
Illinois 9/5/2007
B
Texas 9/19/1997
B
Indiana 1/7/2009
IA
Texas 9/19/1997
B
Iowa 10/31/2024
B
Utah 1/6/1997
B
Kansas 4/15/2014
B
Virginia 1/7/2009
B
Kentucky 3/19/2019
B
Washington 1/9/2009
B
Maryland 9/5/2000
B
Wisconsin 8/6/2015
B
Massachusetts 1/21/2009
B
Wyoming 8/22/2011
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 7/8/1997
B
Registered with this firm since 8/23/1988
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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.
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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.