Shawn Senior

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
FL	RA	APPROVED	2025-02-12
PA	RA	APPROVED	2024-11-26
CT	RA	APPROVED	2024-09-27
NY	RA	APPROVED	2024-09-26
NJ	RA	APPROVED	2021-08-24
TX	RA	APPROVED	2021-07-22

FL RA
APPROVED

Since 2025-02-12
PA RA
APPROVED

Since 2024-11-26
CT RA
APPROVED

Since 2024-09-27
NY RA
APPROVED

Since 2024-09-26
NJ RA
APPROVED

Since 2021-08-24
TX RA
APPROVED

Since 2021-07-22

Branch Locations

501 Fellowship Road, Mt. Laurel, NJ 08054 • 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
Morgan Stanley Smith Barney Llc	Mt. Laurel	NJ	03/2012	07/2021
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	07/2021
Ubs Financial Services, Inc.	Mt. Laurel	NJ	07/2021	Present
Morgan Stanley Private Bank, N.A	New York	NY	01/2015	Present

03/2012 → 07/2021

Morgan Stanley Smith Barney Llc

Mt. Laurel, NJ
01/2015 → 07/2021

Morgan Stanley Private Bank, National Association

New York, NY
07/2021 → Present

Ubs Financial Services, Inc.

Mt. Laurel, NJ
01/2015 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2012-03-23 → 2021-07-26

Morgan Stanley

Mount Laurel, NJ
2006-02-03 → 2012-04-02

Ubs Financial Services Inc.

Mt. Laurel, NJ
2002-06-13 → 2006-02-06

Morgan Stanley Dw Inc.

Mount Laurel, NJ

Other Businesses

1. Philadelphia Phillies; Not Investment related; Philadelphia PA; Sports; Employee (proprietor, partner, officer, director, employee, trustee, agent); May 2018; During business hours: 0; After business hours: 2; Throwing batting practice.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-05-07
S63	Uniform Securities Agent State Law Examination	1998-10-23

S66 Uniform Combined State Law Examination

2002-05-07
S63 Uniform Securities Agent State Law Examination

1998-10-23

View on SEC IAPD