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Daniel John Wunderlich

Ubs Financial Services Inc.

Manchester, TN

Nashville, TN

CRD 5298165

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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 2018-02-08
  • TN RA
    APPROVED
    Since 2018-02-08

Branch Locations

Manchester, TN • United States

315 Deadrick Street 16Th Floor, Nashville, TN 37238 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Franklin TN 12/2011 01/2018
Ubs Financial Services Inc. Nashville TN 02/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-15
  • S66 Uniform Combined State Law Examination
    2008-02-15
Other Names
  • Daniel John Wunderlich
  • Daniel J Wunderlich

View on SEC IAPD

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