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ROSS JOSEPH LICERO
CRD#: 2545645
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 Washington Blvd 9th floor
STAMFORD, CT 06901
Registration History
19952000200520102015202020252 FIRMS1998 - 2008 (10 years)2 FIRMS2008 - Present (16 years)BBT ALEX. BROWN INCORPORATED (CRD# 17790)1997 - 1998 (<1 year)BALEX. BROWN & SONS INCORPORATED (CRD# 20)1994 - 1997 (2 years)
Disclosure(s)
View By:
8/15/2006
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/23/2023

B
Mississippi 1/25/2023

B
Arizona 4/13/2018

B
New Hampshire 1/27/2023

B
Arkansas 1/31/2023

B
New Jersey 8/28/2008

B
California 8/28/2008

B
New York 8/28/2008

B
Colorado 8/28/2008

B
Ohio 1/23/2023

IA
Colorado 1/23/2023

B
Oklahoma 1/24/2023

B
Connecticut 8/28/2008

B
Oregon 9/21/2016

IA
Connecticut 8/28/2008

B
Pennsylvania 8/28/2008

B
Florida 8/28/2008

B
Rhode Island 1/30/2023

B
Georgia 1/25/2023

B
South Carolina 8/28/2008

B
Illinois 8/28/2008

B
Tennessee 10/8/2021

B
Iowa 1/28/2019

IA
Texas 8/28/2008

B
Maine 8/28/2008

B
Texas 2/10/2014

B
Maryland 1/24/2023

B
Utah 1/4/2024

B
Massachusetts 2/10/2009

B
Vermont 1/27/2023

B
Michigan 1/25/2023

B
Virginia 8/28/2008

B
Minnesota 8/28/2008

B
Washington 9/21/2021

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)
600 Washington Blvd 9th floor, STAMFORD, CT 06901
Darien, CT
Registered with this firm since 8/28/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 Washington Blvd 9th floor, STAMFORD, CT 06901
Darien, CT
Registered with this firm since 8/28/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/13/1998 - 09/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STAMFORD, CT
B
02/13/1998 - 09/03/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) STAMFORD, CT
B
09/01/1997 - 03/03/1998 BT ALEX. BROWN INCORPORATED (CRD#:17790) BALTIMORE, MD
B
10/26/1994 - 09/01/1997 ALEX. BROWN & SONS INCORPORATED (CRD#:20)
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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.