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Maxwell Jennings Blalock

Ubs Financial Services Inc.

Miamisburg, OH

CRD 6662189

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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 2026-06-01
OH RA APPROVED 2023-08-11
  • TX RA
    APPROVED_RES
    Since 2026-06-01
  • OH RA
    APPROVED
    Since 2023-08-11

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • 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
Nationwide Investment Services Corp Columbus OH 06/2020 07/2022
Ubs Financial Services Miamisburg OH 05/2016 08/2018
Hilary Boone Center Lexington KY 08/2017 04/2020
University Of Kentucky Lexington KY 08/2016 05/2020
Ubs Financial Services Inc. Miamisburg OH 07/2022 Present
  • 06/2020 → 07/2022
    Nationwide Investment Services Corp
    Columbus, OH
  • 05/2016 → 08/2018
    Ubs Financial Services
    Miamisburg, OH
  • 08/2017 → 04/2020
    Hilary Boone Center
    Lexington, KY
  • 08/2016 → 05/2020
    University Of Kentucky
    Lexington, KY
  • 07/2022 → Present
    Ubs Financial Services Inc.
    Miamisburg, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-11
S63 Uniform Securities Agent State Law Examination 2020-10-17
  • S66 Uniform Combined State Law Examination
    2023-08-11
  • S63 Uniform Securities Agent State Law Examination
    2020-10-17

View on SEC IAPD

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