STEVEN MORTELLITI

STEVEN MORTELLITI is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 1337 TILTON ROAD, NORTHFIELD, NJ, 08225.

STEVEN MORTELLITI has worked at UBS FINANCIAL SERVICES INC. since December 08, 2008

Disclosure History

STEVEN MORTELLITI has 1 Disclosure Event(s).

Date: March 25, 2015
Category: Customer Dispute
Allegations: THE CUSTOMERS ALLEGE UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION.
Damage Amount Requested: $100,000.00
Broker Comment: Respondent's Motion to Dismiss granted based on filing eligibility

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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