Individual Firm
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RONALD F GRASSO JR
RONALD FRANCIS GRASSO JR, RONALD FRANCIS GRASSO JR JR, RONALD F GRASSO JR. JR
CRD#: 2465276
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 8 ESSEX CENTER DRIVE
2ND FLOOR
PEABODY, MA 01960
2ND FLOOR
PEABODY, MA 01960
View By:
10/24/2016
Customer Dispute
Settled
State Registrations
B
Arizona 9/22/2022
B
New York 9/22/2022
B
Connecticut 9/22/2022
B
Pennsylvania 9/22/2022
B
Florida 9/22/2022
B
Rhode Island 9/22/2022
B
Illinois 9/22/2022
B
Tennessee 3/27/2023
B
Maine 9/22/2022
B
Texas 9/22/2022
B
Massachusetts 10/7/2022
IA
Texas 9/22/2022
B
New Hampshire 9/22/2022
B
Virginia 10/18/2022
B
New Jersey 9/22/2022
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 9/22/2022
B
Registered with this firm since 9/22/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/12/2020 - 10/14/2022 | Boston, MA | |
B | 06/01/2009 - 10/14/2022 | Boston, MA | |
B | 03/15/1996 - 06/01/2009 | BOSTON, MA | |
B | 03/17/1994 - 03/28/1996 | BOSTON, MA |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.