Adviser and broker representative · UBS Financial Services Inc.
Lorene Roccon
CRD 702710 · New London, CT
At a glance
Lorene Roccon is an investment adviser representative with UBS Financial Services Inc. in New London, CT, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Lorene’s SEC record dates to 2001, about 25 years ago. Lorene is also registered as a broker representative.
Current advisory firm
- UBS Financial Services Inc.Since December 2019New London, CT · $916B in regulatory assets
SEC adviser record
- Registered since
- 2001 (25 years)
- Designations
- None on file
- Exams
- Series 63, Series 65, Series 66
- Registered in
- 6 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Lorene’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.