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Daniel James Maloney

Ubs Financial Services Inc.

Weehawken, NJ

Fair Lawn, NJ

CRD 4360372

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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
NJ RA APPROVED 2020-12-02
  • NJ RA
    APPROVED
    Since 2020-12-02

Branch Locations

1000 Harbor Blvd 6Th, Weehawken, NJ 07086 • United States

Fair Lawn, NJ • 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
Wells Fargo Advisors Llc Paramus NJ 12/2014 11/2016
Wells Fargo Clearing Services, Llc Paramus NJ 11/2016 02/2018
Ubs Financial Services Inc. Weehawken NJ 02/2018 06/2020
Morgan Stanley New York NY 06/2020 11/2020
Ubs Financial Services Inc. Weehawken NJ 11/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-03
S63 Uniform Securities Agent State Law Examination 2004-03-15
  • S65 Uniform Investment Adviser Law Examination
    2015-04-03
  • S63 Uniform Securities Agent State Law Examination
    2004-03-15

View on SEC IAPD

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