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Charles Anthony Lazzara

Ubs Financial Services Inc.

Weehawken, NJ

Plainfield, IL

CRD 3052158

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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
IL RA APPROVED 2008-05-13
  • IL RA
    APPROVED
    Since 2008-05-13

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Plainfield, IL • 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 Chicago IL 05/2008 Present
Previous Registrations
  • 2003-07-01 → 2008-05-22
    Wells Fargo Clearing Services, Llc
    Chicago, IL
    Naperville, IL
    Naperville, IL
    Naperville, IL
  • 1998-10-16 → 2003-07-01
    Prudential Equity Group, Llc
    Oakbrook Terrace, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-24
S63 Uniform Securities Agent State Law Examination 1998-06-19
  • S65 Uniform Investment Adviser Law Examination
    1998-07-24
  • S63 Uniform Securities Agent State Law Examination
    1998-06-19

View on SEC IAPD

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