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Daniel Stern

Ubs Financial Services Inc.

Walnut Creek, CA

CRD 4838248

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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
TX RA APPROVED_RES 2016-02-22
CA RA APPROVED 2012-04-05
  • TX RA
    APPROVED_RES
    Since 2016-02-22
  • CA RA
    APPROVED
    Since 2012-04-05

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • 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. Walnut Creek CA 04/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-05-04
    Morgan Stanley
    Walnut Creek, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Walnut Creek, CA
  • 2004-10-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Walnut Creek, CA
    Walnut Creek, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-11
  • S66 Uniform Combined State Law Examination
    2004-10-11
Other Names
  • Daniel Charles Stern
  • Daniel C. Stern

View on SEC IAPD

Nearby Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Nearby Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL

Nearby Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA

More in Walnut Creek, CA

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