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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 2012-08-22
  • TX RA
    APPROVED
    Since 2012-08-22

Branch Locations

4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States

4400 Post Oak Parkway Suite 1700, Houston, TX 77027 • United States

Legacy Tower 7250 Dallas Parkway, 12Th Floor, Plano, TX 75024 • 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 Dallas TX 06/2011 Present
  • 06/2011 → Present
    Ubs Financial Services
    Dallas, TX
Other Businesses

1. Plaza Moms Society, Plaza Moms have been coming together to share friendship and fun in and around our neighborhoods. We work to provide great activities for kids and their parents and to make our neighborhoods an even greater place to live. If you're a mom or a young lady that that is not a mom, we'd love for you become a part of our group. It's a great way to network within your neighborhood and do something great for yourself and your children.Member of a committee with management / supervisor functions, Treasurer - reimburse committee members for their receipts when organizing, neighborhood events, managing invoices of sponsors, maintaining budget, start date-10/2/2023, Houston Texas United States-77018

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-21
  • S66 Uniform Combined State Law Examination
    2012-08-21
Other Names
  • Kristen Daus
  • Kristen C Daus

View on SEC IAPD

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