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Lisa M Bruce

Ubs Financial Services Inc.

Glens Falls, NY

CRD 4323074

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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
NY RA APPROVED 2023-08-02
  • NY RA
    APPROVED
    Since 2023-08-02

Branch Locations

One Broad Street Plaza 2Nd Floor, Glens Falls, NY 12801 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Glens Falls NY 11/2000 03/2018
The Pretty Hot Mess South Glens Falls NY 03/2018 08/2022
Ubs Financial Services, Inc. Glens Falls NY 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-01
  • S66 Uniform Combined State Law Examination
    2023-08-01
Other Names
  • Lisa Marie Bruce
  • Lisa Marie Bruce

View on SEC IAPD

Nearby Firms

MORGAN STANLEY
EDWARD JONES
LPL FINANCIAL LLC

Nearby Investors

PAUL C HEBERT
TINA M BRIDGE
KIMBERLY MARIE SCHEFFLER

Nearby Offices

MORGAN STANLEY · Glens Falls, NY
EDWARD JONES · GLENS FALLS, NY
EDWARD JONES · GLENS FALLS, NY

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