STEPHANIE JANE SCARLATA is currently employed as a Broker and/or Investment Adviser at UBS ASSET MANAGEMENT (US) INC. located at 1285 AVENUE OF THE AMERICAS, 12TH FLOOR, NEW YORK, NY, 10019.

STEPHANIE JANE SCARLATA has worked at UBS ASSET MANAGEMENT (US) INC. since November 06, 2001

Disclosure History

STEPHANIE JANE SCARLATA has 2 Disclosure Event(s).

Date: May 26, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $33,049.23
Judgment/Lien Type: Tax

Date: May 21, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $440,000.00
Judgment/Lien Type: Tax
Broker Comment: This was a result of the 2007 economic recession.

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.

To view the full report for STEPHANIE JANE SCARLATA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.