• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SERAFIM KONSTANTINOS PISTIOLIS
SERAFIM KONSTANTINOS PISTIIOLIS
CRD#: 6795723
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 6100 FAIRVIEW ROAD
9TH FLOOR
CHARLOTTE, NC 28211
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 1/4/2019

B
New Jersey 1/4/2019

B
Arizona 1/4/2019

B
New Mexico 1/4/2019

B
California 1/4/2019

B
New York 1/4/2019

B
Colorado 1/4/2019

B
North Carolina 10/18/2018

B
Connecticut 1/4/2019

IA
North Carolina 10/18/2018

B
Delaware 1/4/2019

B
Ohio 1/4/2019

B
Florida 1/4/2019

B
Oklahoma 1/4/2019

B
Georgia 1/4/2019

B
Oregon 1/4/2019

B
Illinois 8/4/2023

B
Pennsylvania 1/4/2019

B
Kentucky 1/4/2019

B
South Carolina 1/4/2019

B
Louisiana 1/24/2024

IA
South Carolina 8/1/2024

B
Maryland 1/4/2019

B
Tennessee 1/4/2019

B
Massachusetts 1/4/2019

B
Texas 1/4/2019

B
Michigan 1/4/2019

IA
Texas 1/10/2022

B
Minnesota 1/4/2019

B
Utah 1/4/2019

B
Missouri 1/3/2023

B
Virginia 1/4/2019

B
Nevada 1/4/2019

B
Washington 1/4/2019

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)
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
Registered with this firm since 10/18/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
6100 FAIRVIEW ROAD 9TH FLOOR, CHARLOTTE, NC 28211
Registered with this firm since 8/21/2018

For additional information about investment advisers or broker-dealers, please visit
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.