Best Investors Account Sign in

Andrew M Mbaya

Ubs Financial Services Inc.

New York, NY

CRD 4478616

Claim This Profile
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
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2018-08-29
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2018-08-29

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • 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
Oppenheimer & Co. Inc. New York NY 03/2017 10/2017
Ubs Financial (Contractor Via Huxley Associates) Weehawken NJ 06/2016 03/2017
Ubs Financial Services Inc. New York NY 08/2018 Present
Unemployed Brooklyn NY 11/2017 08/2018
  • 03/2017 → 10/2017
    Oppenheimer & Co. Inc.
    New York, NY
  • 06/2016 → 03/2017
    Ubs Financial (Contractor Via Huxley Associates)
    Weehawken, NJ
  • 08/2018 → Present
    Ubs Financial Services Inc.
    New York, NY
  • 11/2017 → 08/2018
    Unemployed
    Brooklyn, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-10
  • S66 Uniform Combined State Law Examination
    2017-07-10
Other Names
  • Andrew Muhoro Mbaya

View on SEC IAPD

Nearby Firms

ISLET MANAGEMENT, LP
P2 CAPITAL PARTNERS, LLC
KINYAN CAPITAL MANAGEMENT LLC

Nearby Investors

STEVEN MARC MUEHLGAY
STEPHANIE LYNN FAGENSON
Ross Gladstone

Nearby Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor