Rafael Santiago Williamson

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
TX	RA	APPROVED_RES	2023-01-18
CA	RA	APPROVED	2015-10-23

TX RA
APPROVED_RES

Since 2023-01-18
CA RA
APPROVED

Since 2015-10-23

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

One Post Office Square, Boston, MA 02109 • United States

Duxbury, MA • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services	Boston	MA	09/2015	Present

09/2015 → Present

Ubs Financial Services

Boston, MA

Previous Registrations

2014-07-15 → 2015-04-15

Lcg Pcg

Tampa, FL
2010-11-23 → 2011-05-09

International Assets Investment Management, Llc

Orlando, FL
2010-01-21 → 2010-11-09

Commerce Wealth Advisers, Llc

Johnston, IA
2006-09-05 → 2009-04-15

Gunnallen Financial, Inc

Tampa, FL

Tampa, FL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2015-10-30
S65	Uniform Investment Adviser Law Examination	2014-05-22

S63 Uniform Securities Agent State Law Examination

2015-10-30
S65 Uniform Investment Adviser Law Examination

2014-05-22

Other Names

Rafael Santiago Queyquep

View on SEC IAPD