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Kristie Lea Gavitt

Ubs Financial Services Inc.

New London, CT

New London, CT

Westerly, RI

CRD 4768205

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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
RI RA APPROVED 2024-06-21
CT RA APPROVED 2005-08-17
  • RI RA
    APPROVED
    Since 2024-06-21
  • CT RA
    APPROVED
    Since 2005-08-17

Branch Locations

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

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

Westerly, RI • 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 London CT 06/2000 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-15
  • S66 Uniform Combined State Law Examination
    2005-08-15

View on SEC IAPD

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