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Detailed Report
ETTORE D VENTRICE
EDDIE VENTRICE, EDWARD VENTRICE
CRD#: 2218373
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1800 NORTH MILITARY TRAIL
SUITE 300
BOCA RATON, FL 33431
Registration History
19952000200520102015202020252 FIRMS1992 - 2004 (12 years)2 FIRMS2004 - 2006 (2 years)2 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2015 (6 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
Alabama 1/28/2019
B
Nevada 4/30/2015
B
Arizona 4/30/2015
B
New Hampshire 5/2/2017
B
California 4/30/2015
B
New Jersey 4/30/2015
B
Colorado 8/3/2017
B
New Mexico 4/30/2015
B
Connecticut 4/30/2015
B
New York 4/30/2015
B
Delaware 1/2/2025
B
North Carolina 4/30/2015
B
District of Columbia 7/14/2023
B
Ohio 4/30/2015
B
Florida 4/30/2015
B
Oklahoma 1/18/2024
IA
Florida 5/4/2015
B
Oregon 12/14/2020
B
Georgia 4/30/2015
B
Pennsylvania 4/30/2015
B
Illinois 5/1/2015
IA
Pennsylvania 8/21/2023
B
Indiana 12/17/2020
B
Rhode Island 5/10/2018
B
Kansas 6/16/2022
B
South Carolina 10/29/2015
B
Kentucky 4/30/2015
B
South Dakota 8/28/2024
B
Louisiana 4/30/2015
B
Tennessee 7/22/2015
B
Maine 2/22/2022
B
Texas 4/30/2015
B
Maryland 4/30/2015
IA
Texas 4/30/2015
B
Massachusetts 7/22/2015
B
Utah 11/4/2021
B
Michigan 4/30/2015
B
Virginia 4/30/2015
B
Mississippi 12/14/2023
B
Washington 2/14/2024
B
Missouri 4/30/2015
B
Wisconsin 6/7/2022
B
Montana 2/9/2022

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)
1800 NORTH MILITARY TRAIL SUITE 300, BOCA RATON, FL 33431
Boca Raton, FL
Registered with this firm since 4/30/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1800 NORTH MILITARY TRAIL SUITE 300, BOCA RATON, FL 33431
Boca Raton, FL
Registered with this firm since 4/30/2015
Previous Registration(s)
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IA
 03/31/2009 - 05/04/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
B
 03/31/2009 - 05/04/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
IA
 11/01/2006 - 03/17/2009 STANFORD GROUP COMPANY (CRD#:39285) BOCA RATON, FL
B
 11/01/2006 - 03/17/2009 STANFORD GROUP COMPANY (CRD#:39285) BOCA RATON, FL
IA
 10/29/2004 - 11/10/2006 STILLPOINT WEALTH MANAGEMENT, LLC (CRD#:119154) BOCA RATON, FL
B
 04/02/2004 - 11/10/2006 STILLPOINT WEALTH MANAGEMENT, LLC (CRD#:119154) BOCA RATON, FL
IA
 04/23/1992 - 04/19/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOCA RATON, FL
B
 03/31/1992 - 04/19/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.