Christine Guimaraes

Ubs Financial Services Inc.

Coral Gables, FL

CRD 3063314

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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

Authority	Category	Status	Date
FL	RA	APPROVED	2025-01-16
NY	RA	APPROVED	2021-10-26
NJ	RA	APPROVED	2010-01-01

FL RA
APPROVED

Since 2025-01-16
NY RA
APPROVED

Since 2021-10-26
NJ RA
APPROVED

Since 2010-01-01

Branch Locations

Edgewater, NJ • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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

Organization	City	State	From	To
Ubs Ag	New York	NY	10/2004	Present
Ubs International Inc.	New York	NY	10/2004	Present
Ubs Financial Services Inc.	Weehawken	NJ	01/2010	Present

10/2004 → Present

Ubs Ag

New York, NY
10/2004 → Present

Ubs International Inc.

New York, NY
01/2010 → Present

Ubs Financial Services Inc.

Weehawken, NJ

Previous Registrations

2009-12-24 → 2010-01-01

Ubs International Inc.

New York, NY

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-02-17
S63	Uniform Securities Agent State Law Examination	2001-01-29

S66 Uniform Combined State Law Examination

2009-02-17
S63 Uniform Securities Agent State Law Examination

2001-01-29

View on SEC IAPD

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