Harrison Hall Buxton

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	2021-01-28
TX	RA	APPROVED_RES	2011-12-16
CT	RA	APPROVED	2007-07-23

FL RA
APPROVED

Since 2021-01-28
TX RA
APPROVED_RES

Since 2011-12-16
CT RA
APPROVED

Since 2007-07-23

Branch Locations

2 Union Plaza, New London, CT 06320 • United States

Naples, FL • United States

Pawcatuck, CT • 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 Financial Services	New London	CT	06/2007	Present

06/2007 → Present

Ubs Financial Services

New London, CT

Previous Registrations

2003-04-01 → 2004-09-02

Columbia Management Advisors, Inc.

Hartford, CT
2000-03-30 → 2003-04-01

Fleet Investment Advisors Inc.

Hartford, CT

Other Businesses

2)ST MICHAEL THE ARCHANGEL CATHOLIC CHURCH60 LIBERTY STREETPAWCATUCK, CT 06379 / CATHOLIC CHURCH WITH K-8 SCHOOL CHAIRMAN OF THE FINANCE COUNCIL / CHAIRMAN OF FINANCE COUNCIL PASTOR HAS ALL AUTHORITY / START DATE 07/01/1996 / 4 HRS. 3)CUCKOLDS FOG SIGNAL AND LIGHT STATION / P.O. BOX 117 SOUTHPORT MAINE 04576 /RESCUE AND REHAB OF THE LIGHTHOUSE / TREASURER/ BOARD OF DIRECTORS / OVERSEE THE BOOKKEEPER AND THE CPA AND REPORT ON THE FINANCIAL SITUATION TO THE BOARD / START DATE 05/31/2012. 4) Name of Business- The Corinthians / Address- Wilmington, DE 19801 / Investment Related- NO / Nature- Paper sailing /boating club / Role- Officer / Duty- Pay master for the Mystic Chapter. I will be required to cut one or two checks a year for activities of the Chapter / Start Date- 4/1/2024 / Time Required- No 5) St. Edmunds's Retreat, Inc., Enders Island is an 11-acre island off the coast of Mystic, Connecticut and the site of St. Edmund's Retreat, a 21st century Catholic Retreat Center independently owned and operated by a Board of Trustees since 2003. As a 501(c)3 religious nonprofit, Enders Island is dedicated to the work of spiritual care, recovery from addiction, and education in a variety of fine arts within the Christian tradition, Member of Finance Committee Not on Board of Trustees, Review financials and provide input on future decisions, start date-12/16/2021, MysticCT United States-06355. 6) 945 Marble Drive, LLC, Real Estate leasing, Managing member, Manage the property, start date-5/10/2022, Naples FL United States-34104.