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DANTE LORENZO AMBROGIO
DANTE AMBROGIO
CRD#: 5808242
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE STATE STREET
16TH FLOOR
HARTFORD, CT 06103
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - Present (11 years)
License(s)

State Registrations

B
Alabama 12/11/2015

B
Nebraska 12/11/2015

B
Alaska 12/11/2015

B
Nevada 12/11/2015

B
Arizona 12/11/2015

B
New Hampshire 12/11/2015

B
Arkansas 12/11/2015

B
New Jersey 12/11/2015

B
California 12/11/2015

B
New Mexico 12/11/2015

B
Colorado 12/11/2015

B
New York 12/11/2015

B
Connecticut 11/1/2013

B
North Carolina 12/11/2015

IA
Connecticut 11/1/2013

B
North Dakota 12/11/2015

B
Delaware 12/11/2015

B
Ohio 12/11/2015

B
District of Columbia 12/11/2015

B
Oklahoma 12/11/2015

B
Florida 12/11/2015

B
Oregon 12/11/2015

B
Georgia 12/11/2015

B
Pennsylvania 12/11/2015

B
Hawaii 12/11/2015

B
Puerto Rico 12/11/2015

B
Idaho 12/11/2015

B
Rhode Island 12/11/2015

B
Illinois 12/11/2015

B
South Carolina 12/11/2015

B
Indiana 12/11/2015

B
South Dakota 12/11/2015

B
Iowa 12/11/2015

B
Tennessee 12/11/2015

B
Kansas 12/11/2015

B
Texas 12/11/2015

B
Kentucky 12/11/2015

IA
Texas 3/29/2018

B
Louisiana 12/11/2015

B
Utah 12/11/2015

B
Maine 12/11/2015

B
Vermont 12/11/2015

B
Maryland 12/11/2015

B
Virgin Islands 12/11/2015

B
Massachusetts 12/11/2015

B
Virginia 12/11/2015

B
Michigan 12/11/2015

B
Washington 12/11/2015

B
Minnesota 12/11/2015

B
West Virginia 12/11/2015

B
Mississippi 12/11/2015

B
Wisconsin 12/11/2015

B
Missouri 12/11/2015

B
Wyoming 12/11/2015

B
Montana 12/11/2015

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)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Registered with this firm since 11/1/2013

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE STATE STREET 16TH FLOOR, HARTFORD, CT 06103
Registered with this firm since 9/26/2013

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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.