Wendy Holmes

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

• 11/2015 → Present
  Ubs Financial Services Inc.
  New York, NY

Previous Registrations

• 2010-04-23 → 2015-12-17
  Credit Suisse Securities (Usa) Llc
  New York, NY
• 2007-10-09 → 2008-11-11
  Ubs International Inc.
  New York, NY
  New York, NY

Other Businesses

1) East Side House Settlement / 337 Alexander Avenue Bronx,New York 10454 / Company/ Other Not for Profit / East Side House is a community-based organization in the South Bronx. We work with schools, community centers and other partners to bring quality education and resources to residents of the Bronx and Northern Manhattan. / Member of Board of Directors / / I am a member of the Board of Directors. I serve on the finance committee and a benefit committee (for the Winter Antiques Show) / Start Date 01/01/2013 / 2) Breast Cancer Research Foundation / 28 West 44th Street, Suite 609New York, NY 10036 / When Evelyn Lauder and Dr. Larry Norton founded BCRF in 1993, they realized the irrefutable power of research. They also recognized what was needed to gain real ground in the fight against breast cancer-the freedom and security for researchers to thrive and innovate. Their approach was simple: identify those people with the most promising ideas, then give them the money and flexibility to pursue them. / Participate in an advisory board capacity to further support the mission and objectives of the Breast Cancer research Foundation / Member of Advisory Board, which is junior to the Board of Directors / 4/1/2022 3) American Heart Association - Go Red For Women NYC / 10 East 40th Street, New York, NY 10016 / United States / No / Charity / https://www.goredforwomen.org/ / Awareness and prevention of heart disease. / Executive Leadership / Chair of 2020 Go Red luncheon / No / Start Date 10/28/2019 4) NAME OF OTHER BUSINESS:American Heart Association/ INVESTMENT RELATED?: Yes/ ADDRESS: 7272 Greenville Avenue Dallas Texas 75231 US/ NATURE OF THE BUSINESS: Charity/ POSITION:Investment committee member./ DUTIES:I will be a member of the Investment Committee for the AHA National Endowment/ START DATE: 9/1/2020/ HOURS DEVOTED TO BUSINESS: _________

Exams

• S66 Uniform Combined State Law Examination
  2021-12-01
• S65 Uniform Investment Adviser Law Examination
  1999-08-09
• S63 Uniform Securities Agent State Law Examination
  1999-05-03