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Barry Jason Dupuy

Ubs Financial Services Inc.

Oakbrook Terrace, IL

CRD 4179179

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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 2000-10-02
IL RA APPROVED 2000-09-08
  • TX RA
    APPROVED_RES
    Since 2000-10-02
  • IL RA
    APPROVED
    Since 2000-09-08

Branch Locations

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • 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. Oakbrook Terrace IL 08/2000 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-30
  • S66 Uniform Combined State Law Examination
    2000-08-30

View on SEC IAPD

Nearby Firms

NORTHERN TRUST SECURITIES, INC.
EDELMAN FINANCIAL ENGINES
AMERIPRISE FINANCIAL SERVICES, LLC

Nearby Investors

STEVEN ALLEN SMITH
MANILA SUDHIR KALA
MICHAEL J DASTICE

Nearby Offices

NORTHERN TRUST SECURITIES, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL
EDELMAN FINANCIAL ENGINES · OAKBROOK TERRACE, IL

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