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RICHARD JOSEPH CIARLETTA
RICHARD CIARLETTA
CRD#: 2537726
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Matawan, NJ
Registration History
19952000200520102015202020252 FIRMS2017 - Present (7 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2010 - 2017 (6 years)BGFI SECURITIES LLC (CRD# 19982)2009 - 2010 (<1 year)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)1995 - 2009 (14 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)2001 - 2003 (1 year)IACREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2016 - 2017 (<1 year)
License(s)

State Registrations

B
New Jersey 3/27/2017

B
Texas 3/27/2017

IA
New Jersey 3/29/2017

IA
Texas 3/27/2017

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 principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Matawan, NJ
Registered with this firm since 3/27/2017

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Matawan, NJ
Registered with this firm since 3/27/2017

Previous Registration(s)
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IA
09/07/2016 - 01/17/2017 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) New York, NY
B
04/05/2010 - 01/17/2017 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) New York, NY
B
08/26/2009 - 03/26/2010 GFI SECURITIES LLC (CRD#:19982) NEW YORK, NY
B
01/17/1995 - 02/20/2009 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) NEW YORK, NY
B
03/30/2001 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, 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.