John Donald Baumgarten

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2007 → 05/2020
  Sanford C. Bernstein
  Dallas, TX
• 05/2020 → Present
  Ubs Financial Services Inc.
  Dallas, TX

Previous Registrations

• 2007-10-01 → 2020-05-27
  Alliancebernstein L.P.
  Dallas, TX
  Dallas, TX

Other Businesses

2019 C I Trust, HoustonUnited States ,Trust OtherIrrev trust,The client wants me to act as Distribution Committee and Investment Committee member, Advisor or advisory group member if advice given may influence an officer/board, Distribution Committee and Investment Committee memberStart Date-8/1/2025 Hidden Creek LLC, This is a disregarded entity for tax purposes it owns my investment in Escalante and my lakehouse, Proprietor / owner, start date-12/15/2022, Prosper TXUnited States-75078. L D. C 2025 Irrevocable ,Trust,This is a trust that will receive the limited proceeds from a recent GRAT that has terminated with "wins" of about $1M.N/AHouston,Trustee - distribution of income or principal to beneficiariesN Start date -11/7/2025

Exams

• S66 Uniform Combined State Law Examination
  2007-09-28