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Peter Michael Perdomo

Ubs Financial Services Inc.

Chattanooga, TN

CRD 4686545

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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
TN RA APPROVED 2023-08-29
  • TN RA
    APPROVED
    Since 2023-08-29

Branch Locations

One Union Square, Chattanooga, TN 37402 • 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
Ascensus Dresher PA 01/2011 04/2023
Ascensus Financial Services Llc. East Windsor NJ 09/2013 10/2018
Ascensus Broker Dealer Services, Llc Dresher PA 10/2018 04/2023
Ubs Financial Services Inc Chattanooga TN 04/2023 Present
  • 01/2011 → 04/2023
    Ascensus
    Dresher, PA
  • 09/2013 → 10/2018
    Ascensus Financial Services Llc.
    East Windsor, NJ
  • 10/2018 → 04/2023
    Ascensus Broker Dealer Services, Llc
    Dresher, PA
  • 04/2023 → Present
    Ubs Financial Services Inc
    Chattanooga, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-29
  • S66 Uniform Combined State Law Examination
    2023-08-29
Other Names
  • Peter M. Perdomo
  • Peter M Perdomo

View on SEC IAPD

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