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Detailed Report
NICHOLAS ROBERT CATANIA
CRD#: 2792998
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 401 EAST LAS OLAS BOULEVARD
LAS OLAS CENTRE
FT. LAUDERDALE, FL 33301
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1996 - 2007 (10 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)
Disclosure(s)
View By:
12/28/2022
Customer Dispute
Denied
11/3/2020
Customer Dispute
Denied
12/5/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Arkansas 11/12/2008
B
Montana 1/13/2016
B
California 11/12/2008
B
Nebraska 8/26/2013
B
Colorado 11/12/2008
B
New Jersey 11/12/2008
B
Connecticut 11/12/2008
B
New York 11/12/2008
B
Florida 11/12/2008
B
North Carolina 3/13/2023
IA
Florida 12/1/2008
B
Ohio 2/3/2025
B
Georgia 11/12/2008
B
Oklahoma 6/11/2009
B
Illinois 7/6/2022
B
Oregon 11/12/2008
B
Indiana 3/6/2024
B
Pennsylvania 2/28/2012
B
Kentucky 1/13/2016
B
South Carolina 3/15/2019
B
Maryland 11/18/2022
IA
Texas 11/12/2008
B
Massachusetts 12/5/2013
B
Texas 1/5/2011
B
Michigan 11/12/2008
B
Washington 11/12/2008
B
Missouri 1/20/2021

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)
401 EAST LAS OLAS BOULEVARD LAS OLAS CENTRE, FT. LAUDERDALE, FL 33301
Islamorada, FL
Registered with this firm since 11/12/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
401 EAST LAS OLAS BOULEVARD LAS OLAS CENTRE, FT. LAUDERDALE, FL 33301
Islamorada, FL
Registered with this firm since 11/12/2008
Previous Registration(s)
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IA
 04/02/2007 - 11/13/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FT. LAUDERDALE, FL
B
 04/02/2007 - 11/13/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FT. LAUDERDALE, FL
IA
 09/24/1996 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FT. LAUDERDALE, FL
B
 09/18/1996 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) FT. LAUDERDALE, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.