Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul David Sapiro is a financial advisor with UBS Financial Services Inc. based in HARTFORD, CT. Paul David Sapiro has over 26 years of experience in the financial services industry. Paul David Sapiro is registered with FINRA and has a Series 7, Series 3, Series 63, Series 65, Series 8, Series 9, Series 10, and SIE licenses. Paul David Sapiro has also passed the Uniform Investment Adviser Law Examination and the Uniform Securities Agent State Law Examination. Prior to joining UBS Financial Services Inc., Paul David Sapiro worked for MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CT
02/23/2015 - Present
UBS Financial Services Inc. (HARTFORD CT)
CT
06/01/2009 - 04/30/2012
MORGAN STANLEY SMITH BARNEY (WEST HARTFORD CT)
CT
04/27/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GREENWICH CT)
NY
07/01/1996 - 05/10/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
03/12/1996 - 05/23/1996
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 07/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/05/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/2002
Series 3 - National Commodity Futures Examination
BC
Issued 03/11/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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