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ERIC ANTONIO GARCIA-TUNON
ERIC ANTONIO GARCIATUNON
CRD#: 2765742
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SE 2ND STREET
27TH FLOOR
MIAMI, FL 33131
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (3 years)2 FIRMS2010 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2006 (4 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2001 - 2002 (<1 year)BFIRST UNION SECURITIES, INC. (CRD# 19616)2000 - 2001 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)2000 - 2000 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1996 - 1999 (3 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2005 - 2006 (<1 year)
Disclosure(s)
View By:
11/6/2002
Customer Dispute
Denied
License(s)

State Registrations

B
California 1/1/2010

B
North Carolina 2/19/2020

B
Colorado 2/19/2020

B
Ohio 10/29/2024

B
Connecticut 10/8/2021

B
Pennsylvania 3/7/2019

B
District of Columbia 3/7/2019

B
Puerto Rico 2/19/2020

B
Florida 1/1/2010

B
South Carolina 2/19/2020

IA
Florida 1/1/2010

B
South Dakota 8/28/2024

B
Georgia 2/19/2020

B
Tennessee 2/19/2020

B
Indiana 9/17/2021

B
Texas 5/26/2020

B
Maryland 10/31/2022

IA
Texas 6/8/2020

B
Massachusetts 6/3/2019

B
Washington 10/3/2024

B
New Jersey 2/12/2020

B
Wyoming 3/7/2019

B
New York 7/1/2016

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)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Miami, FL
Registered with this firm since 1/1/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Miami, FL
Registered with this firm since 1/1/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/28/2006 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) MIAMI, FL
B
09/20/2006 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) MIAMI, FL
IA
10/12/2005 - 09/15/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MIAMI, FL
B
06/12/2002 - 09/15/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MIAMI, FL
B
08/03/2001 - 04/10/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
11/17/2000 - 03/23/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
02/02/2000 - 09/13/2000 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
07/25/1996 - 12/16/1999 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, 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.