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CHARLES ANTHONY LAZZARA
CRD#: 3052158
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Plainfield, IL
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2003 (5 years)2 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - Present (16 years)
License(s)

State Registrations

B
Illinois 5/13/2008

IA
Illinois 5/13/2008

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)
Plainfield, IL
Registered with this firm since 5/13/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Plainfield, IL
Registered with this firm since 5/13/2008

Previous Registration(s)
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IA
07/01/2003 - 05/22/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHICAGO, IL
B
07/01/2003 - 05/22/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) CHICAGO, IL
IA
10/16/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) OAKBROOK TERRACE, IL
B
06/26/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) 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.