RITA PERELMAN

RITA PERELMAN is currently employed as a Broker and/or Investment Adviser at UBS SECURITIES LLC located at 1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019.

RITA PERELMAN has worked at UBS SECURITIES LLC since May 05, 2015

Disclosure History

RITA PERELMAN has 1 Disclosure Event(s).

Date: January 03, 2011
Category: Financial
Type: Compromise
Disposition: SETTLEMENT

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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