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Ashok S Acharya

Ubs Financial Services Inc.

Weehawken, NJ

Weehawken, NJ

Fairview, NJ

CRD 3068982

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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
NJ RA APPROVED 2008-10-20
  • NJ RA
    APPROVED
    Since 2008-10-20

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Fairview, NJ • 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 Weehawken NJ 10/2008 Present
Previous Registrations
  • 2007-01-08 → 2008-10-22
    Hsbc Securities (Usa) Inc.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2005-04-05 → 2007-01-03
    Chase Investment Services Corp.
    Bronx, NY
    Bronx, NY
    New York City, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Garden City, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-07
S63 Uniform Securities Agent State Law Examination 1998-07-27
  • S65 Uniform Investment Adviser Law Examination
    1998-08-07
  • S63 Uniform Securities Agent State Law Examination
    1998-07-27
Other Names
  • Ashok Acharya

View on SEC IAPD

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