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Anna Christine Harrington

Ubs Financial Services Inc.

La Jolla, CA

San Diego, CA

CRD 6611989

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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
CO RA APPROVED 2025-05-26
CA RA APPROVED 2024-07-01
  • CO RA
    APPROVED
    Since 2025-05-26
  • CA RA
    APPROVED
    Since 2024-07-01

Branch Locations

1200 Prospect St Suite 100, La Jolla, CA 92038 • United States

San Diego, CA • 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
Ubs Financial Services Inc La Jolla CA 02/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-01
  • S66 Uniform Combined State Law Examination
    2024-07-01

View on SEC IAPD

Nearby Firms

ALPHACORE CAPITAL LLC
WEDBUSH SECURITIES INC.
HAMILTON MANOR & ASSOCIATES

Nearby Investors

TIMOTHY SMITH CALLAN
KYLE ANDREW KRAUS
CHRIS JAMES MAUDLIN

Nearby Offices

ALPHACORE CAPITAL LLC · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
WEDBUSH SECURITIES INC. · LA JOLLA, CA

More in La Jolla, CA

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