# John Garofalo

John Garofalo is an investment adviser representative (IAR) with state registration records since 2013, appearing at 5 firms. Currently registered with UBS FINANCIAL SERVICES INC..

## Registration history (7)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [UBS FINANCIAL SERVICES INC.](https://search.stillhousedata.com/firm/8174) | 2025-05-14 | present | Yes |
| [MAIDEN COVE CAPITAL](https://search.stillhousedata.com/firm/312478) | 2025-03-05 | 2025-04-28 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2023-04-13 | 2024-04-09 | — |
| [J.P. MORGAN PRIVATE WEALTH ADVISORS LLC](https://search.stillhousedata.com/firm/108559) | 2023-03-03 | 2023-05-02 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2020-11-30 | 2023-03-27 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2013-10-22 | 2014-09-19 | — |
| [WELLS FARGO CLEARING SERVICES, LLC](https://search.stillhousedata.com/firm/19616) | 2013-07-02 | 2013-09-30 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/5933976)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/5933976.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.