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NORMA IVETTE MONTALVO
NORMA I MONTALVO
CRD#: 4299898
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 West Putnam Avenue
2nd floor
GREENWICH, CT 06830
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2003 (<1 year)2 FIRMS2003 - 2004 (<1 year)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2012 (3 years)2 FIRMS2013 - Present (11 years)BCLARK DODGE & CO., INC. (CRD# 23288)2004 - 2005 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2002 - 2003 (<1 year)
License(s)

State Registrations

B
Connecticut 11/1/2013

B
Florida 10/30/2019

IA
Connecticut 11/1/2013

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, 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)
100 West Putnam Avenue 2nd floor, GREENWICH, CT 06830
Registered with this firm since 11/1/2013

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 West Putnam Avenue 2nd floor, GREENWICH, CT 06830
Registered with this firm since 11/1/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/16/2008 - 05/07/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) STAMFORD, CT
B
10/16/2008 - 05/07/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) STAMFORD, CT
IA
01/27/2006 - 09/30/2008 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) DARIEN, CT
B
01/27/2006 - 09/30/2008 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) DARIEN, CT
B
05/18/2004 - 10/03/2005 CLARK DODGE & CO., INC. (CRD#:23288) WHITE PLAINS, NY
IA
07/21/2003 - 05/14/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) HARTSDALE, NY
B
07/21/2003 - 05/14/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
06/16/2003 - 07/21/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) STAMFORD, CT
B
05/22/2003 - 07/21/2003 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
10/11/2002 - 05/09/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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Broker
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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.