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Detailed Report
EMIL JOHN SKYBA
CRD#: 426026
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
198019851990199520002005201020152020IAWESTPORT CAPITAL MARKETS, LLC (CRD# 41562)2015 - 2017 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2014 (8 years)
Disclosure(s)
View By:
9/24/2019
Regulatory
Final
5/11/2018
Regulatory
Final
11/8/2017
Customer Dispute
Settled
5/31/2011
Customer Dispute
Settled
4/30/1992
Customer Dispute
Settled
4/9/1991
Customer Dispute
Settled
12/1/1976
Regulatory
Final
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/13/2015 - 09/26/2017 WESTPORT CAPITAL MARKETS, LLC (CRD#:41562) BERKLEY HEIGHTS, NJ
IA
 04/03/2006 - 12/10/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTFIELD, NJ
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.