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Matthew J Effner

Ubs Financial Services Inc.

Weehawken, NJ

Mantua, NJ

CRD 5427601

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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
NJ RA APPROVED 2021-07-26
  • NJ RA
    APPROVED
    Since 2021-07-26

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Mantua, NJ • 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
Wells Fargo Advisors Llc Haddon Township NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Haddon Township NJ 11/2016 07/2021
Ubs Financial Services Inc Weehawken NJ 07/2021 Present
Previous Registrations
  • 2008-11-11 → 2021-07-27
    Wells Fargo Clearing Services, Llc
    Haddon Township, NJ
    Princeton, NJ
    Oakhurst, NJ
    Wayne, PA
    Marlton, NJ
    Philadelphia, PA
    Wayne, PA
    Philadelphia, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-13
  • S66 Uniform Combined State Law Examination
    2008-05-13
Other Names
  • Matthew J Effner
  • Matthew Effner

View on SEC IAPD

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