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DEAN LAWRENCE SCARPA
CRD#: 715371
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1909 NEW ROAD
NORTHFIELD, NJ 08225
Registration History
1980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2002 - Present (22 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2001 - Present (23 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1980 - 2001 (20 years)
License(s)

State Registrations

B
Arizona 1/9/2009

B
Missouri 2/9/2021

B
California 2/16/2001

B
Montana 6/7/2022

IA
California 2/7/2024

B
Nevada 2/20/2013

B
Colorado 2/16/2001

B
New Hampshire 2/9/2021

B
Connecticut 4/29/2004

B
New Jersey 2/16/2001

B
Delaware 2/16/2001

IA
New Jersey 5/23/2002

B
Florida 2/16/2001

B
New York 2/16/2001

B
Georgia 3/25/2010

B
North Carolina 2/16/2001

B
Idaho 3/16/2022

B
Ohio 2/16/2001

B
Illinois 3/16/2021

B
Oregon 7/1/2022

IA
Illinois 8/12/2022

B
Pennsylvania 2/16/2001

B
Indiana 7/1/2022

B
South Carolina 5/31/2002

B
Kansas 5/8/2015

B
Texas 2/22/2001

B
Louisiana 2/16/2001

IA
Texas 6/9/2005

B
Maryland 2/16/2001

B
Utah 12/9/2021

B
Massachusetts 2/18/2021

B
Virginia 2/16/2001

B
Michigan 7/1/2022

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

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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)
1909 NEW ROAD, NORTHFIELD, NJ 08225
1337 TILTON ROAD, NORTHFIELD, NJ 08225
Registered with this firm since 5/23/2002

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1909 NEW ROAD, NORTHFIELD, NJ 08225
1337 TILTON ROAD, NORTHFIELD, NJ 08225
Registered with this firm since 2/16/2001

Previous Registration(s)
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B
09/23/1980 - 02/21/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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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.