Joseph Michael Waldvogel

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

• 04/2011 → 10/2023
  Cibc Private Wealth
  Chicago, IL
• 10/2023 → Present
  Ubs Financial Services
  Oakbrook Terrace, IL

Previous Registrations

• 2013-08-23 → 2023-10-11
  Cibc Private Wealth Advisors, Inc.
  Chicago, IL

Other Businesses

1. LaGrange Little League, La Grange / CookIllinoisUnited States-60525, Charity, To organize and administer youth t-ball, baseball, and softball programs for the local community, Member of Board of directors, help to organize and oversee the little league. Also, to serve as Treasurer of the league, providing oversight into the cash flows of the organization, providing regular updates regarding the health of the financial condition of the league, as well as gather information for the league's accountant to perform the annual tax filing, START DATE-11/18/2024.

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-12-11
• S65 Uniform Investment Adviser Law Examination
  2013-08-23

Designations

• Certified Financial Planner