Lauren A Castan

Ubs Financial Services Inc.

CRD 6118187

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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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
NJ	RA	APPROVED	2015-10-22

NY RA
APPROVED

Since 2021-10-26
NJ RA
APPROVED

Since 2015-10-22

Branch Locations

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • 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

Organization	City	State	From	To
Ubs Financial Services	New York	NY	06/2014	Present

06/2014 → Present

Ubs Financial Services

New York, NY

Other Businesses

Uber / uber driver / 555 Market Street, San Francisco, California 94105/ uber driver / / www.uber.com / Start Date 3/23/2020

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-19

S66 Uniform Combined State Law Examination

2015-10-19

View on SEC IAPD

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