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Detailed Report
JOHN PATRICK PETIKA
CRD#: 5177364
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 311 Park Place Boulevard
Suite 650
CLEARWATER, FL 33759
Registration History
2010201220142016201820202022202420262 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 12/11/2014
B
New Hampshire 2/24/2022
B
Arizona 12/11/2014
B
New Jersey 2/28/2012
B
Arkansas 3/9/2023
B
New Mexico 7/7/2020
B
California 2/24/2011
B
New York 4/30/2012
B
Colorado 12/12/2011
B
North Carolina 4/30/2012
B
Connecticut 1/5/2021
B
North Dakota 9/14/2018
B
Delaware 4/30/2012
B
Ohio 9/6/2013
B
Florida 9/15/2010
B
Oklahoma 4/21/2023
IA
Florida 10/13/2010
B
Oregon 7/7/2020
B
Georgia 3/14/2012
B
Pennsylvania 4/30/2012
B
Illinois 4/2/2012
IA
Pennsylvania 6/14/2023
B
Indiana 4/30/2012
B
Rhode Island 4/26/2024
B
Iowa 1/22/2015
B
South Carolina 4/30/2012
B
Kentucky 12/11/2014
B
Tennessee 6/9/2011
B
Louisiana 3/27/2018
B
Texas 4/9/2012
B
Maine 7/7/2020
IA
Texas 5/21/2012
B
Maryland 4/30/2012
B
Utah 1/31/2025
B
Massachusetts 4/30/2012
B
Virginia 4/30/2012
B
Michigan 1/4/2012
B
Washington 10/3/2018
B
Missouri 3/26/2020
B
Wisconsin 4/30/2012
B
Nevada 1/3/2025

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)
311 Park Place Boulevard Suite 650, CLEARWATER, FL 33759
Registered with this firm since 10/13/2010
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
311 Park Place Boulevard Suite 650, CLEARWATER, FL 33759
Registered with this firm since 9/15/2010
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.