Ashok Eastman

Ubs Financial Services Inc.

CRD 5531274

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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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
NJ	RA	APPROVED	2020-08-24

NY RA
APPROVED

Since 2021-10-26
NJ RA
APPROVED

Since 2020-08-24

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • 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
Credit Suisse Securities (Usa) Llc	New York	NY	07/2009	11/2016
Deutsche Bank Securities Inc	New York	NY	11/2016	11/2019
Ubs Financial Services Inc	New York	NY	04/2020	Present
Non-Compete/Non-Solicit	New York	NY	12/2019	03/2020

07/2009 → 11/2016

Credit Suisse Securities (Usa) Llc

New York, NY
11/2016 → 11/2019

Deutsche Bank Securities Inc

New York, NY
04/2020 → Present

Ubs Financial Services Inc

New York, NY
12/2019 → 03/2020

Non-Compete/Non-Solicit

New York, NY

Previous Registrations

2011-01-26 → 2016-11-04

Credit Suisse Securities (Usa) Llc

New York, NY

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-01-25

S66 Uniform Combined State Law Examination

2011-01-25

View on SEC IAPD

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