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Detailed Report
VICTOR MIGUEL TOMASSINI
VICTOR M TOMASSINI, VICTOR MIGUEL TOMASSINI PEREZ, Victor Miguel Tomassini
CRD#: 2896586
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 250 MUNOZ RIVERA AVENUE
SAN JUAN, PR 00918
Registration History
199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2018 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INCORPO... (CRD# 13042)1997 - 2021 (24 years)
Disclosure(s)
View By:
7/10/2023
Customer Dispute
Pending
6/10/2002
Customer Dispute
Denied
License(s)

State Registrations

B
California 8/28/2002
B
New York 3/31/2022
B
Florida 8/4/1998
B
Pennsylvania 4/28/2016
IA
Florida 6/26/2018
B
Puerto Rico 7/29/1997
B
Georgia 9/20/2004
IA
Puerto Rico 3/6/2020
B
Montana 12/17/2012
B
Virginia 7/28/2016

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)
250 MUNOZ RIVERA AVENUE, SAN JUAN, PR 00918
SAN JUAN, PR
Registered with this firm since 6/26/2018
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
250 MUNOZ RIVERA AVENUE, SAN JUAN, PR 00918
SAN JUAN, PR
Registered with this firm since 7/29/1997
Previous Registration(s)
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B
 07/29/1997 - 08/30/2021 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) SAN JUAN, PR
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.