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Ross Christopher Michael Gaudoin

Ubs Financial Services Inc.

Walnut Creek, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-04-18
CA RA APPROVED 2021-02-11
  • TX RA
    APPROVED_RES
    Since 2022-04-18
  • CA RA
    APPROVED
    Since 2021-02-11

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • 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
First Republic Investment Management, Inc. San Francisco CA 06/2012 01/2021
Ubs Financial Services Inc. Walnut Creek CA 01/2021 Present
  • 06/2012 → 01/2021
    First Republic Investment Management, Inc.
    San Francisco, CA
  • 01/2021 → Present
    Ubs Financial Services Inc.
    Walnut Creek, CA
Previous Registrations
  • 2013-08-21 → 2021-02-01
    J.P. Morgan Private Wealth Advisors Llc
    San Francisco, CA
    Walnut Creek, CA
  • 2008-07-23 → 2012-12-21
    Astera Financial Group, Llc
    Carmel, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-04-29
S65 Uniform Investment Adviser Law Examination 2008-07-21
  • S63 Uniform Securities Agent State Law Examination
    2021-04-29
  • S65 Uniform Investment Adviser Law Examination
    2008-07-21
Other Names
  • Ross Gaudoin

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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