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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
TX RA APPROVED_RES 2004-03-23
GA RA APPROVED 2003-03-04
  • TX RA
    APPROVED_RES
    Since 2004-03-23
  • GA RA
    APPROVED
    Since 2003-03-04

Branch Locations

3560 Lenox Road Ne 28Th Floor, Atlanta, GA 30326 • United States

Atlanta, GA • United States

600 Northpark Town Center 1200 Abernathy Road Suite 1850, Atlanta, GA 30328 • 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
Ubs Financial Services Inc. Atlanta GA 08/2000 Present
Other Businesses

DUNWOODY NATURE CENTER / 5343 ROBERTS DRIVE DUNWOODY,GA 30338 / ENVIRONMENTAL EDUCATION / MEMBER OF BOARD OF DIRECTORS / / SUPPORT ORGANIZATION / START DATE 8/8/2014 Literacy for All / 191 Peachtree Stree, Ste 1000 Atlanta,GA 30303 / Foundation/ Other Committee-Advised Fund / Grant making for Family Literacy / Member of a committee with management or supervisory functions / / Governance, Fundraising / Start Date 04/01/2016 / 3) Name of Business: Belated Goods LLC./ Address: 1777 Brandon Hall Drive Atlanta GA United States 30350./ Investment Related: No./ Nature: e-commerce startup./ Role; Proprietor / owner./ Duty: Day to Day operations for this start-up./ Start Date: 5/12/2023./ Time Required: N.A

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-02-03
  • S63 Uniform Securities Agent State Law Examination
    1998-02-03
Other Names
  • Jany Kay Allen
  • Jany Allen-Brown
  • Jany A. Brown
  • Jany Allen Brown
  • Jany A. Brown

View on SEC IAPD

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