Max Stoka

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

Authority	Category	Status	Date
PA	RA	APPROVED	2022-12-21
FL	RA	APPROVED	2021-07-27
WI	RA	APPROVED	2021-07-20
TX	RA	APPROVED_RES	2016-03-07

PA RA
APPROVED

Since 2022-12-21
FL RA
APPROVED

Since 2021-07-27
WI RA
APPROVED

Since 2021-07-20
TX RA
APPROVED_RES

Since 2016-03-07

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Weston, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Milwaukee	WI	03/2016	Present

03/2016 → Present

Ubs Financial Services Inc

Milwaukee, WI

Previous Registrations

2008-08-28 → 2016-03-07

Wells Fargo Clearing Services, Llc

Milwaukee, WI

Waukesha, WI
2007-04-02 → 2008-09-03

Morgan Stanley & Co. Llc

Wauwatosa, WI
2006-09-19 → 2007-04-02

Morgan Stanley Dw Inc.

Wauwatosa, WI

Wauwatosa, WI
2003-01-28 → 2003-10-10

Strong Capital Management Inc

Menomonee Falls, WI

Other Businesses

1)11064SWPath LLC / 5290 Pine Tree Drive Miami Beach,FL 33140 / Partnership/ Real Estate / Rental Real Estate / Partner / / Cash and Property Mgmt / Start Date 12/13/13 / 2)836 81st Street LLC / 5290 Pine Tree Drive Miami Beach,FL 33140 / Partnership/ Real Estate / Rental Properties / Partner / / Property and Cash Mgmt / Start Date 12/13/13 / 3) Weighless MD LLC / United States / 14960 W Greenfield Ave. Brookfield, WI 53005 / Partnership / www.weighlessmd.com / Health Care & Pharmaceuticals / Health and Nutrition Counseling and Guidance / Just advice for my wife as she runs the business. Financial analysis from time to time / Investment in Company?: YES; 50% / Start Date 12/1/2014 4) SecureFutures, SecureFutures empowers teens through financial education. Our movement of engaging volunteers, dynamic schools and generous supporters share a vision of stronger communities built by an investment in "money smart" teens, I will travel to local schools and teach predetermined classes offered by SecureFutures, start date-10/8/2018, MilwaukeeWI United States-53203.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-01-27

S66 Uniform Combined State Law Examination

2003-01-27

Other Names

Max Stoka
Maximiliano Stoka

View on SEC IAPD