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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
MI RA APPROVED 2011-07-01
  • MI RA
    APPROVED
    Since 2011-07-01

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Rochester Hills, MI • 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
Meadow Brook Theatre Rochester MI 09/2002 Present
Festival Singers Holly MI 09/1995 Present
Ubs Financial Services Inc Troy MI 11/2013 Present
  • 09/2002 → Present
    Meadow Brook Theatre
    Rochester, MI
  • 09/1995 → Present
    Festival Singers
    Holly, MI
  • 11/2013 → Present
    Troy, MI
Other Businesses

1)FESTIVAL SINGERS,NOT INVESTED RELATED. BASED IN WATERFORD, MI. SINGER/PERFORMER FOR SEASONAL FESTIVAL (WORKS WEEKENDS ONLY FROM NOVEMBER THROUGH DECEMBER). 2)MEADOW BROOKE THEATRE /NOT INVESTMENT RELATED. (THEATRE AND UNIVERSITY)/ SEASONAL POSITION /LIGHTING TECH./START DATE - 09/2002 TO THE PRESENT WORKS 1 WEEK A MONTH DURING THE MONTHS OF SEPTEMBER - APRIL. NO MORE THAN 20 HOURS PER WEEK. 3)AVON PLAYERS INC.1185 WASHINGTON RD, ROCHESTER, MI 48308 / LIVE STAGE COMMUNITY THEATRE PRODUCTIONS. DUTIES: TO COORDINATE THE DESIGN AND DISTRIBUTION OF PRODUCTION MAILERS TO THE PREEXISTING MAILING LIST / OTHER BOX OFFICE MANAGER / BOX OFFICE/TICKET SALES / START DATE 12/21/2009. 207 WILSON HALL ROCHESTER, MI 48306 (248) 377-3300 4)We R Family USA / 53 Rose Brier Rochester, MI 48309 / Other/ Sport & Leisure Facilities / Social organization / Member of Board of Directors / / assist in organizing social events for the LGBT community in the Detroit area including occasional philanthropic contributions / Start Date1/1/16 Social organization /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-30
S63 Uniform Securities Agent State Law Examination 2006-10-13
  • S66 Uniform Combined State Law Examination
    2011-06-30
  • S63 Uniform Securities Agent State Law Examination
    2006-10-13

View on SEC IAPD

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