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Detailed Report
MARIA MCARDLE
Maria A Palomino, Maria Alexandra Palomino, Maria Alexandra Palomino Maldonado
CRD#: 6959511
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8 Wright Street
WESTPORT, CT 06880-4701
Registration History
201820192020202120222023202420252026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2020 - Present (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2019 - Present (5 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2018 - 2019 (1 year)
License(s)

State Registrations

B
Arizona 8/23/2019
B
Missouri 1/21/2020
B
California 8/23/2019
B
New Hampshire 1/21/2020
B
Colorado 8/23/2019
B
New Jersey 8/23/2019
B
Connecticut 8/23/2019
B
New York 8/23/2019
IA
Connecticut 12/21/2020
B
North Carolina 8/23/2019
B
Delaware 1/21/2020
B
Ohio 8/23/2019
B
Florida 8/23/2019
B
Oregon 1/21/2020
B
Georgia 1/21/2020
B
Pennsylvania 8/23/2019
B
Illinois 7/23/2020
B
South Carolina 1/21/2020
B
Indiana 1/21/2020
B
Tennessee 8/23/2019
B
Maine 1/21/2020
B
Texas 8/23/2019
B
Maryland 1/21/2020
B
Vermont 8/23/2019
B
Massachusetts 8/23/2019
B
Virginia 8/23/2019

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)
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 12/21/2020
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 8/23/2019
Previous Registration(s)
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B
 08/28/2018 - 08/01/2019 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) WESTPORT, CT
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.