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Nicholas John Hunt

Ubs Financial Services Inc.

San Francisco, CA

Palo Alto, CA

CRD 6040549

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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 2020-12-21
CA RA APPROVED 2020-08-24
  • TX RA
    APPROVED_RES
    Since 2020-12-21
  • CA RA
    APPROVED
    Since 2020-08-24

Branch Locations

San Francisco, CA • United States

305 Lytton Avenue, Palo Alto, CA 94301 • 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
Ameriprise Financial Services, Inc. San Jose CA 03/2012 08/2020
Ubs Financial Services Inc Menlo Park CA 08/2020 Present
  • 03/2012 → 08/2020
    Ameriprise Financial Services, Inc.
    San Jose, CA
  • 08/2020 → Present
    Ubs Financial Services Inc
    Menlo Park, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-07-05
  • S66 Uniform Combined State Law Examination
    2012-07-05

View on SEC IAPD

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