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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-11-02
TX RA APPROVED_RES 2012-03-07
NJ RA APPROVED 2012-02-16
  • FL RA
    APPROVED
    Since 2021-11-02
  • TX RA
    APPROVED_RES
    Since 2012-03-07
  • NJ RA
    APPROVED
    Since 2012-02-16

Branch Locations

500 Campus Drive 2Nd Floor, Florham Park, NJ 07932 • United States

Belleair, FL • United States

Lafayette, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Florham Park NJ 02/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-02-27
    Short Hills, NJ
    Fairfield, NJ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Short Hills, NJ
  • 2002-06-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Short Hills, NJ
    Short Hills, NJ
Other Businesses

1)CHARAL REALITY INVESTORS LLC / 132-46 S. 3RD STREET EASTON,PA 18042 / PARTNERSHIP/ REAL ESTATE / OWNS A COMMERCIAL PROPERTY / PARTNER / MANAGING PARTNER / START DATE 11/21/2001. /// 2 Eternal Balance / United States / 520 Speedwell Ave Morris Plains, NJ 07950 / Partnership / The llC author entertainment scripts that it attempts market to the entertainment industry. / developing movie scripts / Partner / assist in developing and marketing movie scripts. / Investment In Company?: YES; 40% / Start Date 7/1/2017 /// 3) Ashraf Elghandour-Novel / United States / 13 William way, Lafayette, New Jersey 07848 / Permission to publish a novel (fiction) / Proprietor / owner / if published the book will be copyrighted / Authored a novel (fiction) that I'm in the process of publishing / Author / Receive Compensation?: YES / Investment in Company?: YES; 100% / Start Date 6/8/2020 /// 4) RabbitMotion LLC / Partnership / Develop Health and Fitness equipment / Partner / Develop and promote invention 5) St. Petersburg College, FloridaUnited States-33733-3489, Educational Establishment, Higher education, Adjunct Professor of Finance, Teach one or two courses a semester, start date-1/13/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-01
S63 Uniform Securities Agent State Law Examination 1988-03-29
  • S65 Uniform Investment Adviser Law Examination
    1992-06-01
  • S63 Uniform Securities Agent State Law Examination
    1988-03-29
Other Names
  • Ashraf Elghandour
  • Ashraf El Ghandour

View on SEC IAPD

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