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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

John Garofalo

Advisor at UBS FINANCIAL SERVICES INC.

PORTLAND, ME

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Search this name across graphsid dfx:ria:33d93334-86c4-1408-a2f3-3ea52b66ad15

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Jul 2, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 19, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 7
Exams: S65|S66
First exam: Jun 19, 2013
First registration: Jul 2, 2013
Dual registered: yes, broker-dealer
Other names: JOHN GAROFALO|JP Garofalo|JOHN PAUL GAROFALO
IAPD individual key: 5933976

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	May 14, 2025	n/a	yes	PORTLAND, ME	Current employment
MAIDEN COVE CAPITAL	Independent wealth	Mar 5, 2025	Apr 28, 2025	no	SANTA MONICA, CA\|YARMOUTH, ME	Previous registration
MORGAN STANLEY	Wirehouse	Apr 13, 2023	Apr 9, 2024	no	Santa Monica, CA	Previous registration
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Mar 3, 2023	May 2, 2023	no	Los Angeles, CA	Previous registration
MORGAN STANLEY	Wirehouse	Nov 30, 2020	Mar 27, 2023	no	Santa Monica, CA\|Los Angeles, CA	Previous registration
MORGAN STANLEY	Wirehouse	Oct 22, 2013	Sep 19, 2014	no	PURCHASE, NY\|PURCHASE, NY\|PURCHASE, NY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 2, 2013	Sep 30, 2013	no	PURCHASE, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MAIDEN COVE CAPITAL	UBS FINANCIAL SERVICES INC.	Apr 28, 2025	May 14, 2025	16	Firm change	RIA to wirehouse
MORGAN STANLEY	MAIDEN COVE CAPITAL	Apr 9, 2024	Mar 5, 2025	330	Firm change	Wirehouse to RIA
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	MORGAN STANLEY	May 2, 2023	Apr 13, 2023	-19	Firm change	Ibd to wirehouse
MORGAN STANLEY	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Mar 27, 2023	Mar 3, 2023	-24	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MORGAN STANLEY	Sep 30, 2013	Oct 22, 2013	22	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
108559:149777:CA:2023-04-25	May 2, 2023	Apr 13, 2023	LOS ANGELES, CA	Firm change
149777:108559:CA:2023-03-24	Mar 27, 2023	Mar 3, 2023	LOS ANGELES, CA	Firm change

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
May 14, 2025 to presentfactForm ADV
→ MAIDEN COVE CAPITALRegistered adviserregistration: previous registration
Mar 5, 2025 to Apr 28, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 13, 2023 to Apr 9, 2024factForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Mar 3, 2023 to May 2, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 2, 2013 to Sep 30, 2013factForm ADV

Dated events

Occurred
Apr 28, 2025
Advisor changed firm
John Garofalo left Maiden Cove Capital for Ubs Financial Services Inc. (registered 2025-05-14)
Form ADVobserved 6 days ago
Occurred
Apr 9, 2024
Advisor changed firm
John Garofalo left Morgan Stanley for Maiden Cove Capital (registered 2025-03-05)
Form ADVobserved 6 days ago
Occurred
May 2, 2023
Advisor changed firm
John Garofalo left J.P. Morgan Private Wealth Advisors Llc for Morgan Stanley (registered 2023-04-13)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2023
Advisor changed firm
John Garofalo left Morgan Stanley for J.P. Morgan Private Wealth Advisors Llc (registered 2023-03-03)
Form ADVobserved 6 days ago