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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
TX RA APPROVED_RES 2011-03-29
IA RA APPROVED 2008-07-28
  • TX RA
    APPROVED_RES
    Since 2011-03-29
  • IA RA
    APPROVED
    Since 2008-07-28

Branch Locations

West Des Moines, IA • United States

1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • 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
Ubs Financial Services Inc. West Des Moines IA 05/2008 Present
Other Businesses

2)ENERPOWER LLC / CLIVE IA 50325 /ENERGY INVESTMENTS, DRILLING EQUIPMENT / INVESTED IN OIL/GAS DRILLING EQUIPMENT / OTHER MEMBER OF LLC / NONE, INVESTMENT PASSIVE / START DATE 07/04/2005 . 3)HAWKEYE NATION.COM / DIGITAL WEST DES MOINES IA 50266 / SPORTS COMMENTARY WEBSITE / ONLINE COMMENTARY AND FAN NEWS SPOT / OTHER WEEKLY COMMENTARY ON FOOTBALL GAMES / INTERVIEW ON SUNDAY NIGHT THAT HE PRINTS FOR 12 WEEKS ONLINE THE NEXT DAY. / START DATE 08/29/2009 .)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-26
  • S66 Uniform Combined State Law Examination
    2008-07-26

View on SEC IAPD

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