Best Investors Account Sign in

William Daniel Brown

Ubs Financial Services Inc.

New York, NY

CRD 6521446

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
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2018-03-26
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2018-03-26

Branch Locations

1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • 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
The Gms Group, L.L.C. Livingston NJ 06/2015 10/2017
Ubs Financial Services Inc. Weehawken NJ 11/2017 03/2018
Ubs Financial Services Inc. Weehawken NJ 03/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-22
S63 Uniform Securities Agent State Law Examination 2015-11-10
  • S66 Uniform Combined State Law Examination
    2018-03-22
  • S63 Uniform Securities Agent State Law Examination
    2015-11-10
Other Names
  • Bill Brown
  • Bill Brown
  • William Brown

View on SEC IAPD

Nearby Firms

ISLET MANAGEMENT, LP
P2 CAPITAL PARTNERS, LLC
KINYAN CAPITAL MANAGEMENT LLC

Nearby Investors

STEVEN MARC MUEHLGAY
STEPHANIE LYNN FAGENSON
Ross Gladstone

Nearby Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor