Shane Ellis Unsworth

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
TX	RA	APPROVED_RES	2014-09-03
TN	RA	APPROVED	2011-05-27

TX RA
APPROVED_RES

Since 2014-09-03
TN RA
APPROVED

Since 2011-05-27

Branch Locations

One Union Square, Chattanooga, TN 37402 • United States

Ooltewah, TN • 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 Financial Services Inc	Chattanooga	TN	05/2011	Present

05/2011 → Present

Ubs Financial Services Inc

Chattanooga, TN

Previous Registrations

2008-01-01 → 2011-05-31

Wells Fargo Clearing Services, Llc

Chattanooga, TN
2007-08-06 → 2008-01-01

A. G. Edwards & Sons, Inc.

St. Louis, MO

Chattanooga, TN

Other Businesses

BUSINESS NETWORKING INTERNATIONAL -CHATTANOOGA HAMILTON POINTE CHAPTER; NOT INVESTMENT RELATED; KNOXVILLE, TN; NETWORKING; PRESIDENT; START DATE 10/1/2010; 10 HRS MONTH; NONE DURING TRADING HRS; DUTIES ARE TO RUN THE WEEKLY MEETINGS AND THE MONTHLY LEADERSHIP MEETINGS. - LIFE CARE CENTERS OF AMERICA; NOT INVESTMENT RELATED; CLEVELAND, TN; LONG-TERM CARE & REHABILITATION; ASSISTING WITH MAJOR EVENTS; START DATE 2010; 12 HOURS DEVOTED PER YEAR; NONE DURING TRADING HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-08-03

S66 Uniform Combined State Law Examination

2007-08-03

View on SEC IAPD