• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
NICHOLAS ROCCO ALEXANDER
CRD#: 4428250
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 SUPERIOR AVE EAST
27TH FLOOR
CLEVELAND, OH 44114
Registration History
20022004200620082010201220142016201820202022202420263 FIRMS2001 - 2004 (2 years)2 FIRMS2004 - Present (20 years)
License(s)

State Registrations

B
Colorado 3/3/2005

B
Ohio 4/26/2004

B
Connecticut 9/4/2007

IA
Ohio 4/27/2004

B
Florida 9/15/2004

B
Pennsylvania 9/15/2004

B
Illinois 3/3/2005

B
South Carolina 3/3/2005

B
Maryland 3/3/2005

B
Tennessee 11/7/2023

B
Massachusetts 12/7/2011

B
Texas 3/3/2005

B
Michigan 3/3/2005

IA
Texas 3/7/2005

B
North Carolina 3/3/2005

B
West Virginia 3/3/2005

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)
600 SUPERIOR AVE EAST 27TH FLOOR, CLEVELAND, OH 44114
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 4/27/2004

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 SUPERIOR AVE EAST 27TH FLOOR, CLEVELAND, OH 44114
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 4/26/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/17/2001 - 04/13/2004 AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363) AKRON, OH
B
10/10/2001 - 04/13/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
10/10/2001 - 04/13/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
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.