Alan Neil Rechtschaffen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → Present
  Ubs Financial Services Inc.
  New York, NY

Previous Registrations

• 2007-09-04 → 2010-01-01
  Ubs International Inc.
  New York, NY
• 2006-03-17 → 2007-09-13
  Ubs Financial Services Inc.
  New York, NY
• 2003-07-01 → 2006-03-17
  Wells Fargo Clearing Services, Llc
  New York, NY
• 1992-11-02 → 2003-07-01
  Prudential Equity Group, Llc
  New York, NY

Other Businesses

1) NEW YORK CITY CAMPAIGN BOARD APPOINTMENT PROPER VOTE ELECTIONS /// 2) OXFORD LEGAL PUBLISHERS, 111 EIGHT AVENUE, 7TH FLOOR, NEW YORK,N.Y.10011.AUTHOR OF A LEGAL TEXT BOOK-SIMILAR BOOK PUBLISHED PRIOR BY NYU LAW SCHOOL AND FORDHAM LAW SCHOOL SOME TIME AGO. 4/24/06, LAW TEXT BOOK AUTHOR NO TIME SPENT /// 6) VARIOUS TRUST FOR ANDREW CAPLAN / C/O CITICORP TRUS NA ZURICH, 00000 / TRUST / TRUSTS FOR SHARES OF GLENCORE FOR CHILDRES / TRUSTS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAY INFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / ADVISE TRUSTEES WITH REGARDS TO FRIENDS TRUST / START DATE 04/25/2011/// 8) Barrons / 1025 Conn. Ave. NW Suite 800 washington,DC 20036 / Yes/ Privately Held / USD / No / No / / Start Date 4/17/16 /// 10) Aspen Legal Publishers111 Eighth Avenue, 7th Floor New York, NY 10011/ Description -"Author of a legal text book -Similar book published prior by NYU law School and Fordham Law School some time ago. /// 113) Manfred Rechtschaffen, LLC, East Meadow, NYnew york United States-11554, Company, Real Estate, Estate llc for inheritance as required to hold family real estate assets/residual estate assets of, father who passed away, Partner, own real estate and interests that could not be liquidated in passive real estate owned by (father) at time of his death, start date-6/9/2025, Investment related-Yes.14) Village of Wesley Hills,United StatesNY10952,https://www.wesleyhills.gov/Governmental Entity,NoYesMarshall Katz and Board of the Village of Wesley Hillsvillage management - NO MUNICIPAL BONDS issued or outstandingOtherback up village justice as Associate"approve parking ticket settlements, building permit violations etc, in essence this is a junior backing up to the village judge. Licensed to perform weddings", Start date -9/1/2025

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-02-14
• S63 Uniform Securities Agent State Law Examination
  1990-04-18

Other Names

• Alan Neil Rechitschaffen
• Alan N Rechtschaffen