Leland Harris

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2001 → 03/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 03/2024 → Present
  Ubs Financial Services, Inc
  New York, NY

Previous Registrations

• 2002-09-27 → 2024-03-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  Garden City, NY
  New York, NY
  Garden City, NY
  New York, NY
  New York, NY
  New York, NY

Other Businesses

FINRA; 200 Liberty Street, New York, New York 10281; Association (e.g. Trade or Industry, Sport); Financial (Consumer & Investment Services); Regulator; Arbitrator; Arbitrate cases; Start date: 3/4/2024

Exams

• S66 Uniform Combined State Law Examination
  2002-09-20