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Laura Virginia Saborio

Ubs Financial Services Inc.

New London, CT

CRD 4410627

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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
FL RA APPROVED 2024-02-07
CT RA APPROVED 2023-07-12
NJ RA APPROVED 2023-06-19
WY RA APPROVED 2023-06-12
  • FL RA
    APPROVED
    Since 2024-02-07
  • CT RA
    APPROVED
    Since 2023-07-12
  • NJ RA
    APPROVED
    Since 2023-06-19
  • WY RA
    APPROVED
    Since 2023-06-12

Branch Locations

2 Union Plaza, New London, CT 06320 • 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
Hsbc Bank Usa New York NY 06/2003 04/2023
Hsbc Securities (Usa) Inc. New York City NY 01/2005 04/2023
Ubs Financial Services, Inc. New London CT 06/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-26
  • S66 Uniform Combined State Law Examination
    2023-05-26
Other Names
  • Laura Saborio

View on SEC IAPD

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