Lisa Ann Walsh

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

• 03/2016 → Present
  Ubs Financial Services Inc
  San Francisco, CA

Previous Registrations

• 2012-03-29 → 2016-04-12
  J.P. Morgan Securities Llc
  San Francisco, CA
• 2008-02-27 → 2012-04-17
  Deutsche Bank Securities Inc.
  San Francisco, CA
  San Francisco, CA

Other Businesses

1. C. D .V Irrevocable GST Trust DTD 10/11/2021 J. L. TTEE, These are trust accounts. I am being asked to become the successor trustee, Menlo ParkCalifornia United States-94025, Initially as successor trustee, no duties will be required. When current trustees pass and I become trustee, I would be custodian of the assets held in the individual trusts. I would be responsible for managing and administering the trusts as outlined in the trust agreements for the beneficiaries, start date-10/1/2024. /// 2. D. V Family Charitable Remainder Trust, These are trust accounts. I am being asked to become the successor trustee, Menlo Park California United States-94025, Initially as successor trustee, no duties will be required. When current trustees pass and I become trustee, I would be custodian of the assets held in the individual trusts. I would be responsible for managing and administering the trusts as outlined in the trust agreements for the beneficiaries, start date-10/1/2024 /// 3. D. V Family Irrevocable Trust J. L. TTEE, These are trust accounts. I am being asked to become the successor trustee, Menlo Park California United States-94025, Initially as successor trustee, no duties will be required. When current trustees pass and I become trustee, I would be custodian of the assets held in the individual trusts. I would be responsible for managing and administering the trusts as outlined in the trust agreements for the beneficiaries, start date-10/1/2024 /// 4. D.V Shelter Tr dtd 11/18/12 D. G. D. TTEE C/U/T D. Rev Tr dtd 11/1/1988, This is a trust account. I am being asked to become the successor trustee, Menlo Park California United States-94025, Initially as successor trustee, no duties will be required. When current trustees pass and I become trustee, I would be custodian of the assets held in the individual trusts. I would be responsible for managing and administering the trusts as outlined in the trust agreements for the beneficiaries, start date-10/1/2024 /// 5. D.V Survivor's Trust U/A DTD 11-18-2012 D. G. D. TTEE C/U/T D. Rev Tr 11/1/88, These are trust accounts. I am being asked to become the successor trustee, Menlo Park California United States-94025, Initially as successor trustee, no duties will be required. When current trustees pass and I become trustee, I would be custodian of the assets held in the individual trusts. I would be responsible for managing and administering the trusts as outlined in the trust agreements for the beneficiaries, Start date-10/1/2024 /// 6. J.W Irrevocable GST Trust DTD 10/11/2021 J. L. TTEE, These are trust accounts. I am being asked to become the successor trustee, Menlo Park CaliforniaUnited States-94025, Initially as successor trustee, no duties will be required. When current trustees pass and I become trustee, I would be custodian of the assets held in the individual trusts. I would be responsible for managing and administering the trusts as outlined in the trust agreements for the beneficiaries, start date-10/1/2024

Exams

• S66 Uniform Combined State Law Examination
  2008-02-25
• S63 Uniform Securities Agent State Law Examination
  1996-05-29

Other Names

• Lisa Ann Cavanaugh