Best Investors Account Sign in

Indy Colas

Ubs Financial Services Inc.

Broussard, LA

Weehawken, NJ

CRD 6451324

Claim This Profile
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
LA RA APPROVED 2019-06-07
  • LA RA
    APPROVED
    Since 2019-06-07

Branch Locations

Broussard, LA • United States

1000 & 1200 Harbor Boulevard, Weehawken, NJ 07086 • 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
Jp Morgan Securities Llc Lafayette LA 02/2015 07/2017
Jp Morgan Chase Bank Lafayette LA 12/2013 07/2017
Ubs Financial Services Inc. Lafayette LA 08/2017 Present
  • 02/2015 → 07/2017
    Jp Morgan Securities Llc
    Lafayette, LA
  • 12/2013 → 07/2017
    Jp Morgan Chase Bank
    Lafayette, LA
  • 08/2017 → Present
    Ubs Financial Services Inc.
    Lafayette, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-07
  • S66 Uniform Combined State Law Examination
    2019-06-07
Other Names
  • Indiana Jones
  • Indiana Richard
  • Indy Richard
  • Indy Jones

View on SEC IAPD

More in Broussard, LA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor