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TRICIA ANN FITZSIMONS
TRICIA ANN MAGANTE
CRD#: 2565792
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 32300 NORTHWESTERN HWY STE 150
FARMINGTON HILLS, MI 48334
Registration History
1995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - Present (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - Present (10 years)BNEXT FINANCIAL GROUP, INC. (CRD# 46214)2006 - 2014 (8 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2005 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2002 - 2003 (1 year)BUBS PAINEWEBBER INC. (CRD# 8174)1998 - 2002 (4 years)BRONEY & CO. L.L.C. (CRD# 900)1995 - 1998 (3 years)BNEW ENGLAND SECURITIES (CRD# 615)1994 - 1995 (<1 year)
License(s)

State Registrations

B
Illinois 1/27/2023

B
Michigan 8/6/2014

IA
Illinois 2/8/2023

IA
Michigan 6/28/2017

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 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)
32300 NORTHWESTERN HWY STE 150, FARMINGTON HILLS, MI 48334
Registered with this firm since 6/28/2017

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
32300 NORTHWESTERN HWY STE 150, FARMINGTON HILLS, MI 48334
Registered with this firm since 8/6/2014

Previous Registration(s)
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B
03/28/2006 - 07/29/2014 NEXT FINANCIAL GROUP, INC. (CRD#:46214) NOVI, MI
B
07/01/2003 - 01/27/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
06/13/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
04/20/1998 - 06/13/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
04/19/1995 - 04/08/1998 RONEY & CO. L.L.C. (CRD#:900) DETROIT, MI
B
12/13/1994 - 03/03/1995 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
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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.