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Barton M Helfet

Ubs Financial Services Inc.

Centennial, CO

Denver, CO

Denver, CO

CRD 5984777

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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
NV RA APPROVED 2024-05-09
CA RA APPROVED 2024-04-09
CT RA APPROVED 2024-04-04
NM RA APPROVED 2024-04-04
ID RA APPROVED 2024-04-03
NY RA APPROVED 2024-04-03
UT RA APPROVED 2024-04-03
CO RA APPROVED 2023-04-27
  • NV RA
    APPROVED
    Since 2024-05-09
  • CA RA
    APPROVED
    Since 2024-04-09
  • CT RA
    APPROVED
    Since 2024-04-04
  • NM RA
    APPROVED
    Since 2024-04-04
  • ID RA
    APPROVED
    Since 2024-04-03
  • NY RA
    APPROVED
    Since 2024-04-03
  • UT RA
    APPROVED
    Since 2024-04-03
  • CO RA
    APPROVED
    Since 2023-04-27

Branch Locations

Centennial, CO • United States

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States

205 Detroit Street 5Th Floor, Denver, CO 80206 • 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
Morgan Stanley Walnut Creek CA 09/2011 08/2021
Ubs Financial Services Denver CO 04/2023 Present
Extended Travel Tiburon CA 08/2021 04/2023
  • 09/2011 → 08/2021
    Morgan Stanley
    Walnut Creek, CA
  • 04/2023 → Present
    Ubs Financial Services
    Denver, CO
  • 08/2021 → 04/2023
    Extended Travel
    Tiburon, CA
Previous Registrations
  • 2011-12-23 → 2021-08-24
    Morgan Stanley
    Greenwood Village, CO
    Los Angeles, CA
    Los Angeles, CA
    Woodland Hills, CA
    Los Angeles, CA
    Walnut Creek, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-22
  • S66 Uniform Combined State Law Examination
    2011-12-22
Other Names
  • Barton Mcmahon Helfet
  • Barton M Helfet

View on SEC IAPD

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