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Detailed Report
PETER THOMAS BUZZINI
PETER BUZZINI
CRD#: 4977064
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE MERCHANTS PLAZA
THIRD FLOOR
BANGOR, ME 04401
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - Present (17 years)
Disclosure(s)
View By:
2/9/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 12/8/2015
B
New Hampshire 10/5/2007
B
California 1/5/2017
B
New Jersey 1/5/2017
B
Colorado 12/19/2019
B
New Mexico 9/14/2020
B
Connecticut 1/5/2017
B
New York 10/5/2007
B
Delaware 1/5/2017
B
North Carolina 1/11/2017
B
District of Columbia 1/5/2017
B
Ohio 1/5/2017
B
Florida 10/5/2007
B
Oklahoma 1/5/2017
B
Georgia 10/5/2007
B
Pennsylvania 1/5/2017
B
Hawaii 1/5/2017
B
Puerto Rico 2/20/2024
B
Indiana 9/29/2023
B
Rhode Island 11/18/2015
B
Louisiana 10/7/2020
B
South Carolina 1/5/2017
B
Maine 10/5/2007
B
Tennessee 9/14/2020
IA
Maine 10/5/2007
B
Texas 10/29/2007
B
Maryland 1/5/2017
IA
Texas 1/8/2008
B
Massachusetts 10/5/2007
B
Vermont 9/14/2020
B
Michigan 10/5/2007
B
Virginia 8/11/2015
B
Missouri 11/18/2021
B
Washington 1/5/2017
B
Montana 7/6/2020
B
Wisconsin 9/14/2020
B
Nevada 1/5/2017

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)
ONE MERCHANTS PLAZA THIRD FLOOR, BANGOR, ME 04401
Hampden, ME
Registered with this firm since 10/5/2007
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE MERCHANTS PLAZA THIRD FLOOR, BANGOR, ME 04401
Hampden, ME
Registered with this firm since 10/5/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/31/2005 - 10/25/2007 RBC DAIN RAUSCHER INC. (CRD#:31194) BANGOR, ME
B
 08/10/2005 - 10/25/2007 RBC DAIN RAUSCHER INC. (CRD#:31194) BANGOR, ME
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.