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Cara Kelley Reese

Ubs Financial Services Inc.

Chicago, IL

CRD 6658201

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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
TX RA APPROVED_RES 2022-01-24
IL RA APPROVED 2018-11-15
  • TX RA
    APPROVED_RES
    Since 2022-01-24
  • IL RA
    APPROVED
    Since 2018-11-15

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • 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
Loyola University Chicago Chicago IL 08/2014 12/2017
Ubs Financial Services Chicago IL 10/2016 05/2017
Ubs Financial Services Cleveland OH 05/2017 08/2017
Ubs Financial Services Chicago IL 09/2017 12/2017
Ubs Financial Services Inc. Chicago IL 08/2018 Present
Unemployed Rocky River OH 12/2017 07/2018
  • 08/2014 → 12/2017
    Loyola University Chicago
    Chicago, IL
  • 10/2016 → 05/2017
    Ubs Financial Services
    Chicago, IL
  • 05/2017 → 08/2017
    Ubs Financial Services
    Cleveland, OH
  • 09/2017 → 12/2017
    Ubs Financial Services
    Chicago, IL
  • 08/2018 → Present
    Ubs Financial Services Inc.
    Chicago, IL
  • 12/2017 → 07/2018
    Unemployed
    Rocky River, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-15
  • S66 Uniform Combined State Law Examination
    2018-11-15
Other Names
  • Cara Kelley

View on SEC IAPD

Nearby Firms

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PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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