Mauricio Dorfzaun - MD Team
View FINRA BrokerCheck informationContact us

A legacy for generations

A leader in wealth management

Backed by the strength of our parent company, UBS AG

#1

for High Net-Worth clients

Euromoney Private Banking and Wealth Management Survey (peer review), 2015-2022

$6.9 trn

UBS Group invested assets
As of 10/29/2025

More than 160 years

offering financial advice

Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

  • Mauricio Dorfzaun 03.24

    Mauricio Dorfzaun - MD Team

    Managing Director–Wealth Management

    Financial Advisor

    • image
    • image
    • image
    View bio
    • AZ
    • CA
    • CO
    • CT
    • DE
    • FL
    • IL
    • NC
    • ND
    • NJ
    • NY
    • PR
    • SD
    • TX
    • WY

    Mauricio brings over 20 years of diverse experience in covering UHNW families in Latin America. He works closely with high-net-worth individuals to develop highly customized solutions to their investing and wealth management needs. Prior to joining UBS, Mauricio was a Private Banker and Global Investment Specialist at JPM for 12 years and before that at UBS Investment Bank (Foreign Exchange Sales & Trading) and Private Bank covering the Andean region. He has an MBA from Duke University (Fuqua School of Business) and a BS in Economics and Finance from Bentley University. He lives in NY with his wife and three children.

      • Bentley University , Bachelor of Science in Economics and Finance
      • Duke Fuqua School of Business, MBA
        1285 Avenue of the Americas
        NY, NY 10019
        Mauricio.dorfzaun@ubs.com
        Mauricio Dorfzaun - MD Team
        1285 Avenue of the Americas ,NY,NY,10019
      • Lisseth Nova

        Lisseth Nova

        Client Associate

        • image
        • image
        • image
        View bio

          Lisseth has over 8 years of experience in the financial services industry. A skillful problem-solver, she is a tremendous resource for all operational questions and issues. Working closely with advisors, drawing upon her deep knowledge of the financial industry she prides herself on finding the best client centric solution for each situation.

          Lisseth holds a B.S. degree in Business Management and Entrepreneurship from Baruch College. Fluent in Spanish.

            • Baruch College, Bachelor's Degree: 2019 - 2022
              1285 Avenue Of The Americas
              New York, NY 10019
              lisseth.nova@ubs.com
              Lisseth Nova
              1285 Avenue Of The Americas,New York,NY,10019
            • Mauricio Dorfzaun 03.24

              Mauricio Dorfzaun - MD Team

              Managing Director–Wealth Management

              Financial Advisor

              • image
              • image
              • image
              View bio
              • AZ
              • CA
              • CO
              • CT
              • DE
              • FL
              • IL
              • NC
              • ND
              • NJ
              • NY
              • PR
              • SD
              • TX
              • WY

              Mauricio brings over 20 years of diverse experience in covering UHNW families in Latin America. He works closely with high-net-worth individuals to develop highly customized solutions to their investing and wealth management needs. Prior to joining UBS, Mauricio was a Private Banker and Global Investment Specialist at JPM for 12 years and before that at UBS Investment Bank (Foreign Exchange Sales & Trading) and Private Bank covering the Andean region. He has an MBA from Duke University (Fuqua School of Business) and a BS in Economics and Finance from Bentley University. He lives in NY with his wife and three children.

                • Bentley University , Bachelor of Science in Economics and Finance
                • Duke Fuqua School of Business, MBA
                  1285 Avenue of the Americas
                  NY, NY 10019
                  Mauricio.dorfzaun@ubs.com
                  Mauricio Dorfzaun - MD Team
                  1285 Avenue of the Americas ,NY,NY,10019
                • Lisseth Nova

                  Lisseth Nova

                  Client Associate

                  • image
                  • image
                  • image
                  View bio

                    Lisseth has over 8 years of experience in the financial services industry. A skillful problem-solver, she is a tremendous resource for all operational questions and issues. Working closely with advisors, drawing upon her deep knowledge of the financial industry she prides herself on finding the best client centric solution for each situation.

                    Lisseth holds a B.S. degree in Business Management and Entrepreneurship from Baruch College. Fluent in Spanish.

                      • Baruch College, Bachelor's Degree: 2019 - 2022
                        1285 Avenue Of The Americas
                        New York, NY 10019
                        lisseth.nova@ubs.com
                        Lisseth Nova
                        1285 Avenue Of The Americas,New York,NY,10019

                      Insights

                      Products and services mentioned on these web pages may not be available for residents of certain nations.  Please consult the sales restrictions relating to the service in question for further information. http://www.ubs.com  

                      As a firm providing wealth management services to clients, UBS Financial Services Inc. offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer. Investment advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate arrangements. It is important that clients understand the ways in which we conduct business, that they carefully read the agreements and disclosures that we provide to them about the products or services we offer. A small number of our financial advisors are not permitted to offer advisory services to you, and can only work with you directly as UBS broker-dealer representatives. Your financial advisor will let you know if this is the case and, if you desire advisory services, will be happy to refer you to another financial advisor who can help you. Our agreements and disclosures will inform you about whether we and our financial advisors are acting in our capacity as an investment adviser or broker-dealer. For more information, please review the PDF document at ubs.com/relationshipsummary.

                      Neither UBS Financial Services Inc. nor its employees (including its Financial Advisors) provide tax or legal advice. You should consult with your legal counsel and/or your accountant or tax professional regarding the legal or tax implications of a particular suggestion, strategy or investment, including any estate planning strategies, before you invest or implement.

                      Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker-dealer offering securities, trading, brokerage and related products and services. Member SIPC . Member FINRA . UBS Financial Services Inc. is also registered as a Futures Commission Merchant (FCM) with the U.S. Commodity Futures Trading Commission (CFTC) and offers brokerage services related to the execution and clearing of on-exchange futures and options on futures products. Member NFA 

                      Unless we separately agree in writing, we do not monitor your brokerage account, and you make the ultimate decision regarding the purchase or sale of investments. You can ask us to review your brokerage account and provide you with investment recommendations at any time.

                      Wealth Management and Private Wealth Management and UBS International are divisions of UBS Financial Services Inc., a subsidiary of UBS AG.  Private Wealth Management resources and services are provided by specially-accredited Financial Advisors within UBS Financial Services Inc. (including Private Wealth Advisors and International Private Wealth Advisors).

                      For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures.html.

                      Notice for Non-U.S. Investors . Notice for Non-Puerto Rico Investor . Order Routing Disclosure . Statement of Financial Condition. Statement of Financial Condition- UBS FSI of Puerto Rico. Best Execution Statement. Loan Disclosure Statement. Account Sweep Yields. Advisory & Brokerage Services. CFP Board's Trademark Disclaimer. Important Information About Auction Rate Securities (Not for Puerto Rico). Futures Commission Merchant (FCM) Information for UBS Financial Services Inc . Agreements and Disclosure 

                      © UBS 1998-2026. All rights reserved.

                      This website uses cookies to make sure you get the best experience on our website. You can find more information under the Privacy Statement. You are free to change your cookies' settings in the privacy settings.

                      Go to privacy settings