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Benjamin Christian Schroder

Ubs Financial Services Inc.

Irvine, CA

Frisco, TX

Plano, TX

CRD 3053979

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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 2018-10-30
CA RA APPROVED 2013-10-29
  • TX RA
    APPROVED_RES
    Since 2018-10-30
  • CA RA
    APPROVED
    Since 2013-10-29

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • United States

Frisco, TX • United States

7250 Dallas Parkway Suite120, Plano, TX 75024 • 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. Irvine CA 10/2013 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-03
S63 Uniform Securities Agent State Law Examination 2002-08-19
  • S66 Uniform Combined State Law Examination
    2004-06-03
  • S63 Uniform Securities Agent State Law Examination
    2002-08-19

View on SEC IAPD

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