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Marc Shawn Peterfriend

Ubs Asset Management (Americas) LLC

New York, NY

CRD 3095217

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Employer firm

Ubs Asset Management (Americas) LLC CRD 106838

$588B regulatory AUM 17 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Asset Management (Americas) Llc

1285 Avenue Of The Americas, New York, NY 10019 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-01-18
  • NJ RA
    APPROVED
    Since 2018-01-18

Branch Locations

1285 Avenue Of The Americas, 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
Ubs Financial Services Inc. Weehawken NJ 05/2005 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-19
S63 Uniform Securities Agent State Law Examination 2000-08-16
  • S65 Uniform Investment Adviser Law Examination
    2005-09-19
  • S63 Uniform Securities Agent State Law Examination
    2000-08-16

View on SEC IAPD

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Nearby Investors

STEVEN MARC MUEHLGAY
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P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
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