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Elizabeth M Metal

Ubs Financial Services Inc.

Garden Grove, CA

Seal Beach, CA

CRD 4432535

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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
CA RA APPROVED 2009-10-13
  • CA RA
    APPROVED
    Since 2009-10-13

Branch Locations

Garden Grove, CA • United States

3030 Old Ranch Pkwy Suite 300, Seal Beach, CA 90740 • 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 Newport Beach CA 10/2009 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-22
  • S66 Uniform Combined State Law Examination
    2002-04-22
Other Names
  • Elizabeth Maile Atkin
  • Elizabeth M Chavez
  • Elizabeth Maile Metal

View on SEC IAPD

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