Sergio Suppion Kokubo

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-11-24
FL	RA	APPROVED	2021-11-22

NY RA
APPROVED

Since 2021-11-24
FL RA
APPROVED

Since 2021-11-22

Branch Locations

Ocala, FL • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • United States

Ocala, FL • United States

Coral Gables, FL • 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

Organization	City	State	From	To
Ubs International Inc	New York	NY	03/2007	Present
Ubs Financial Services Inc.	New York	NY	01/2010	Present

03/2007 → Present

Ubs International Inc

New York, NY
01/2010 → Present

Ubs Financial Services Inc.

New York, NY

Other Businesses

1) Hickory Investments LLC/ investment related?: yes/ Middletown, Delaware, US/Partnership/Managing Partner./ Personal holding company/start date: 12/15/2021/

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-18

S66 Uniform Combined State Law Examination

2021-11-18

Other Names

Kokubo Sergio
Kokubo Suppion Sergio

View on SEC IAPD