JOSE MANUEL CORNIDE JR · house my private equity and illiquid investments such as my vacation home / partner / no stated duties. / start date 08/01/2000 3) cuvee / 500 s. gilpin

BrokerCheck Report

JOSE MANUEL CORNIDE JR

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 2785918

1

2 - 4

6 - 7

8

Page(s)

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About BrokerCheck®

BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

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JOSE M. CORNIDE JR

CRD# 2785918

Currently employed by and registered with thefollowing Firm(s):

UBS FINANCIAL SERVICES INC.550 BILTMORE WAYSUITE 1100CORAL GABLES, FL 33134CRD# 8174Registered with this firm since: 05/11/2004

B

UBS FINANCIAL SERVICES INC.550 BILTMORE WAYSUITE 1100CORAL GABLES, FL 33134CRD# 8174Registered with this firm since: 06/01/2004

IA

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Customer Dispute 13


This broker is registered with:

9 Self-Regulatory Organizations

15 U.S. states and territories

This broker has passed:

0 Principal/Supervisory Exams

3 General Industry/Product Exams

2 State Securities Law Exams

Registration History

This broker was previously registered with thefollowing securities firm(s):

GOLDMAN, SACHS & CO.CRD# 361NEW YORK, NY08/1996 - 05/2004

B

www.finra.org/brokercheck User Guidance

1�2020 FINRA. All rights reserved. Report about JOSE M. CORNIDE JR.


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Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.

This individual is currently registered with 9 SROs and is licensed in 15 U.S. states and territories through his or her employer.

Employment 1 of 1Firm Name:

Main Office Address:

Firm CRD#:

UBS FINANCIAL SERVICES INC.

8174

1200 HARBOR BOULEVARDWEEHAWKEN, NJ 07086

SRO Category Status Date

B BOX Exchange LLC General Securities Representative APPROVED 05/16/2012

B Cboe Exchange, Inc. General Securities Representative APPROVED 05/11/2004

B FINRA General Securities Representative APPROVED 05/11/2004

B NYSE American LLC General Securities Representative APPROVED 05/11/2004

B NYSE Arca, Inc. General Securities Representative APPROVED 05/11/2004

B Nasdaq ISE, LLC General Securities Representative APPROVED 01/28/2008

B Nasdaq PHLX LLC General Securities Representative APPROVED 05/11/2004

B Nasdaq Stock Market General Securities Representative APPROVED 07/12/2006

B New York Stock Exchange General Securities Representative APPROVED 05/11/2004

BU.S. State/ Territory Category Status Date

B Arkansas Agent APPROVED 08/18/2004

B California Agent APPROVED 05/11/2004

B Colorado Agent APPROVED 01/17/2014

B Delaware Agent APPROVED 11/11/2009





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Employment 1 of 1, continued

BU.S. State/ Territory Category Status Date

B Florida Agent APPROVED 05/11/2004

IA Florida Investment Adviser Representative APPROVED 06/01/2004

B Georgia Agent APPROVED 10/23/2009

B Maryland Agent APPROVED 03/18/2015

B Massachusetts Agent APPROVED 08/10/2015

B New Jersey Agent APPROVED 05/11/2004

B New York Agent APPROVED 05/11/2004

B South Carolina Agent APPROVED 01/19/2017

B South Dakota Agent APPROVED 10/26/2006

B Texas Agent APPROVED 09/26/2012

IA Texas Investment Adviser Representative APPROVED 11/29/2012

B Utah Agent APPROVED 05/01/2018

B Wisconsin Agent APPROVED 08/27/2018

Branch Office Locations

UBS FINANCIAL SERVICES INC.550 BILTMORE WAYSUITE 1100CORAL GABLES, FL 33134







Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 3 general industry/product exams, and 2 state securities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 10/01/2018SIEB

National Commodity Futures Examination 09/09/1996Series 3B

General Securities Representative Examination 08/29/1996Series 7B

Exam Category Date

State Securities Law Exams

Uniform Investment Adviser Law Examination 03/06/2000Series 65IA

Uniform Securities Agent State Law Examination 09/12/1996Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.







Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 08/1996 - 05/2004 GOLDMAN, SACHS & CO. 361 NEW YORK, NY

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

05/2004 - Present UBS FINANCIAL SERVICES INC. FINANCIAL ADVISOR Y MIAMI, FL, United States

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.

1)SCANTECH HOLDINGS / 75 FIFTH STREET NW, SUITE 430 ATLANTA, GA 30308 / COMPANY / INFORMATION TECHNOLOGY /DESIGNS AND MANUFACTURES ITS OWN PROPRIETARY SCANNERS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO /MEMBER OF BOARD OF DIRECTORS / ATTEND BOARD MEETINGS / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONSON BEHALF OF THE COMPANY? NO/ START DATE 03/15/2011.

2)EDINROC INVESTMENTS LP / LITTLE ROCK AR 72223 / PARTNERSHIP /FAMILY LIMITED PARTNERSHIP / I ESTABLISHED AN FLP TOHOUSE MY PRIVATE EQUITY AND ILLIQUID INVESTMENTS SUCH AS MY VACATION HOME / PARTNER / NO STATED DUTIES. / STARTDATE 08/01/2000

3) CUVEE / 500 S. GILPIN STREET DENVER, CO 80209 / PARTNERSHIP / REAL ESTATE / CUVEE ORGANIZES GROUPS OF INVESTORSTO BUY REAL ESTATE COLLECTIVELY / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAYINFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / NOTMUCH. OCCASIONAL ADVICE OR SOUNDING BOARD FOR GP / START DATE 05/01/2012.

4)Green Mountain / 100 Green Mountain Parkway Adamsville,AL 35005 / Company/ Waste Management / Landfill / Member of Board ofDirectors / / one call; one meeting / Start Date 10/1/2015

5) Odyssey / Kamique Villas, Little Bay / Anguilla/ Company / Real Estate / Buying an Investment Property (single family residence) in Anguilla.This property will be rented out when not in use. / Advisor or advisory group member if advice given may influence an officer/board / I suppose Iwill act as GP for the house. / Start Date 7/22/2019 / 6�2020 FINRA. All rights reserved. Report about JOSE M. CORNIDE JR.






Other Business Activities, continued

1)SCANTECH HOLDINGS / 75 FIFTH STREET NW, SUITE 430 ATLANTA, GA 30308 / COMPANY / INFORMATION TECHNOLOGY /DESIGNS AND MANUFACTURES ITS OWN PROPRIETARY SCANNERS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO /MEMBER OF BOARD OF DIRECTORS / ATTEND BOARD MEETINGS / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONSON BEHALF OF THE COMPANY? NO/ START DATE 03/15/2011.

2)EDINROC INVESTMENTS LP / LITTLE ROCK AR 72223 / PARTNERSHIP /FAMILY LIMITED PARTNERSHIP / I ESTABLISHED AN FLP TOHOUSE MY PRIVATE EQUITY AND ILLIQUID INVESTMENTS SUCH AS MY VACATION HOME / PARTNER / NO STATED DUTIES. / STARTDATE 08/01/2000

3) CUVEE / 500 S. GILPIN STREET DENVER, CO 80209 / PARTNERSHIP / REAL ESTATE / CUVEE ORGANIZES GROUPS OF INVESTORSTO BUY REAL ESTATE COLLECTIVELY / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAYINFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / NOTMUCH. OCCASIONAL ADVICE OR SOUNDING BOARD FOR GP / START DATE 05/01/2012.

4)Green Mountain / 100 Green Mountain Parkway Adamsville,AL 35005 / Company/ Waste Management / Landfill / Member of Board ofDirectors / / one call; one meeting / Start Date 10/1/2015

5) Odyssey / Kamique Villas, Little Bay / Anguilla/ Company / Real Estate / Buying an Investment Property (single family residence) in Anguilla.This property will be rented out when not in use. / Advisor or advisory group member if advice given may influence an officer/board / I suppose Iwill act as GP for the house. / Start Date 7/22/2019 /






Disclosure Events

What you should know about reported disclosure events:

1. 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.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Customer Dispute 10 3 N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied

This type of disclosure event involves (1) a consumer-initiated, investment-related arbitration or civil suit containing allegations of sales practiceviolations against the individual broker that was dismissed, withdrawn, or denied; or (2) a consumer-initiated, investment-related written complaintcontaining allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, ormisappropriation, or conversion of funds or securities, which was closed without action, withdrawn, or denied.

Disclosure 1 of 3

Reporting Source: Broker

Employing firm whenactivities occurred which ledto the complaint:

Allegations:

UBS Financial Services Inc.

Time Frame: March 13, 2017 to April 2, 2019The client alleges he is a low risk investor and was fraudulently sold into thisproduct. The alleged damages are estimated to be in excess of $5,000.00

Product Type: Other: Managed Wrap Accounts/ In house

Alleged Damages: $0.00

Date Complaint Received: 04/11/2019

Complaint Pending? No

Status:

Customer Complaint Information

Alleged Damages AmountExplanation (if amount notexact):

Estimated to be in excess of $5,000.00

Is this an oral complaint? No

Is this a written complaint? Yes

Is this an arbitration/CFTCreparation or civil litigation?

No






Status:

Status Date: 06/04/2019

Settlement Amount:

Individual ContributionAmount:

Denied

Disclosure 2 of 3

i



Allegations:


Time Frame: March 13, 2018 to November 16, 2018The client alleges the investment strategy was misrepresented to be very safe,very stable, not volatile and very liquid. The client further alleges the FA's told himthis almost like a savings account and about as safe as it can get. The allegeddamages are estimated to be in excess of $5,000.00

Product Type: Other: Managed Wrap Accounts/ In house




Status:


Settlement Amount: $0.00


$0.00


Denied


Estimated to be in excess of $5,000.00




No







$0.00

Disclosure 3 of 3

i



Allegations:

GOLDMAN, SACHS & CO.

FAILURE TO FOLLOW INSTRUCTIONS IN CONNECTIONWITH PURCHASING THREE SECURITIES; SEEKING REIMBURSEMENT OFPURCHASE PRICES WITH THE TOTAL VALUE OF APPROXIMATELY $113,650

Product Type: Other: SECURITIES

Alleged Damages: $113,650.00



Status:


Settlement Amount:


Broker Statement N/ANOT PROVIDED


Closed/No Action




No






Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of salespractice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that thebroker engaged in, sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, orconversion of funds or securities.

Disclosure 1 of 10



Allegations:


Time frame: Starting around June 2016Claimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.

Product Type: Other: In-House Wrap Fee

Alleged Damages: $3,000,000.00


Complaint Pending? Yes

Settlement Amount:






Yes

Arbitration/Reparation forumor court name and location:

FINRA Arbitration

Docket/Case #: 20-03026

Filing date ofarbitration/CFTC reparationor civil litigation:

09/25/2020

Disclosure 2 of 10

i








Allegations:

UBS Financial Services, Inc.

Time frame: 2017-2019Claimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.

Product Type: Other: In House Wrap Fee




Settlement Amount:






Yes


FINRA Arbitration



02/10/2020

Disclosure 3 of 10

i



Allegations:


Time frame: Late 2016- presentClaimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.






Time frame: Late 2016- presentClaimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.





Settlement Amount:






Yes


FINRA Arbitration



12/13/2019

Disclosure 4 of 10

i



Allegations:


Time frame: 2016- presentClaimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.













Settlement Amount:




Yes


FINRA Arbitration



11/26/2019

Disclosure 5 of 10

i



Allegations:








Yes


FINRA Arbitration



10/04/2019








Settlement Amount:




10/04/2019

Disclosure 6 of 10

i



Allegations:











Yes


FINRA Arbitration



09/30/2019







Settlement Amount:


Disclosure 7 of 10

i



Allegations:


Time frame: Mid 2015- presentClaimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.





Settlement Amount:






Yes


FINRA Arbitration



08/12/2019

Disclosure 8 of 10

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Allegations:


Time frame: 2016 - presentClaimant's counsel alleges unsuitability and misrepresentation with respect torecommendations to invest in and hold an options overlay strategy.





Settlement Amount:




$500K - $1M




Yes


FINRA Arbitration



07/15/2019

Disclosure 9 of 10

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Allegations:

UBS Financial Services Inc

Time frame: 8/2016 to PresentAllegations:Claimant's Counsel alleges unsuitability and misrepresentation regarding anoptions overlay strategy investment. Counsel also makes allegations regarding arecommendation to hold the strategy.





Settlement Amount:






Yes


FINRA ARBITRATION



06/10/2019

Disclosure 10 of 10

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Allegations:


Time frame: June 2016 - January 2019Allegations: Claimants' counsel alleges unsuitability and misrepresentation withrespect to recommendations to invest in and hold an options overlay strategy.






Time frame: June 2016 - January 2019Allegations: Claimants' counsel alleges unsuitability and misrepresentation withrespect to recommendations to invest in and hold an options overlay strategy.





Settlement Amount:






Yes


FINRA Arbitration



04/22/2019






End of Report

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Documents

JOSE MANUEL CORNIDE JR · house my private equity and illiquid investments such as my vacation home / partner / no stated duties. / start date 08/01/2000 3) cuvee / 500 s. gilpin