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Detailed Report
JOSEPH JAMES LAURI JR
JOSEPH LAURI
CRD#: 4623504
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 OVERLOOK CENTER
SUITE 400
PRINCETON, NJ 08540
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - Present (21 years)
License(s)

State Registrations

B
Arizona 1/16/2013
B
North Carolina 11/22/2004
B
California 4/4/2007
B
Ohio 8/23/2019
B
Connecticut 6/16/2010
B
Pennsylvania 6/26/2003
B
Delaware 6/1/2015
B
South Carolina 6/8/2017
B
Florida 3/24/2006
B
Texas 7/22/2019
B
New Jersey 3/26/2003
IA
Texas 7/30/2019
IA
New Jersey 4/10/2003
B
Virginia 7/28/2021
B
New York 6/23/2003

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)
100 OVERLOOK CENTER SUITE 400, PRINCETON, NJ 08540
100 OVERLOOK CENTER SUITE 303, PRINCETON, NJ 08540
Registered with this firm since 4/10/2003
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 OVERLOOK CENTER SUITE 400, PRINCETON, NJ 08540
100 OVERLOOK CENTER SUITE 303, PRINCETON, NJ 08540
Registered with this firm since 3/26/2003
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.