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Alfonso Barros

Ubs Financial Services Inc.

San Diego, CA

CRD 4593924

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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
FL RA APPROVED 2024-06-07
NY RA APPROVED 2021-10-26
TX RA APPROVED 2018-09-12
  • FL RA
    APPROVED
    Since 2024-06-07
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2018-09-12

Branch Locations

600 West Broadway Suite 2800, San Diego, CA 92101 • 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. New York NY 03/2018 Present
Self Employed New York NY 06/2016 02/2018
Other Businesses

El Museo del Barrio / United States / 1230 Fifth Avenue / New York / NY / United States / 10029 / http://www.elmuseo.org/ / No / Other / El Museo del Barrio is a museum and cultural institution based in NYC. Its main focus is Latino and Latin American art. / Other / Art. Museum. / I am currently a Trustee and Treasurer. / Active / Member of Board of directors / / I am a Trustee and Treasurer/ / 30 / No / No / No / No / Start Date 02/01/2017 / / No / / No / / No / No No / It only operates in NYC. / No / / Yes / / I am passionate about art and I think that NYC should have a better museum of Latin American Art. / No /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-04
S63 Uniform Securities Agent State Law Examination 2002-12-05
  • S66 Uniform Combined State Law Examination
    2018-05-04
  • S63 Uniform Securities Agent State Law Examination
    2002-12-05
Other Names
  • Alfonso Barros
  • Alfonso Barros Cruchaga

View on SEC IAPD

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