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Detailed Report
NANCY ANN BOHAN
NANCY ANN SORRENTINO
CRD#: 4494229
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1055 FRANKLIN AVENUE
SUITE 300
GARDEN CITY, NY 11530
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BMORGAN STANLEY (CRD# 149777)2009 - 2015 (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)BWESTCO INVESTMENT CORP. (CRD# 20744)2002 - 2003 (1 year)
License(s)

State Registrations

B
Arizona 3/27/2015
IA
New York 10/26/2021
B
California 3/27/2015
B
North Carolina 6/19/2018
B
Colorado 12/16/2020
B
Pennsylvania 3/27/2015
B
Connecticut 3/27/2015
B
Rhode Island 6/15/2021
B
District of Columbia 6/2/2021
B
South Carolina 3/27/2015
B
Florida 3/27/2015
IA
Texas 8/27/2015
B
Indiana 9/5/2019
B
Texas 12/16/2020
B
Nebraska 4/6/2017
B
Vermont 3/27/2015
B
New Hampshire 3/16/2018
B
Virginia 3/27/2015
B
New Jersey 3/27/2015
B
Wisconsin 12/21/2017
B
New York 3/27/2015

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)
1055 FRANKLIN AVENUE SUITE 300, GARDEN CITY, NY 11530
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
Registered with this firm since 8/27/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1055 FRANKLIN AVENUE SUITE 300, GARDEN CITY, NY 11530
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
Registered with this firm since 3/27/2015
Previous Registration(s)
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B
 06/01/2009 - 04/07/2015 MORGAN STANLEY (CRD#:149777) JERICHO, NY
B
 05/14/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) JERICHO, NY
B
 01/29/2002 - 05/02/2003 WESTCO INVESTMENT CORP. (CRD#:20744) LYNBROOK, NY
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.