Samuel Joseph Groom

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2013 → Present
  Ubs Financial Services Inc
  South Burlington, VT

Previous Registrations

• 2009-06-01 → 2013-03-12
  Morgan Stanley
  Hanover, NH
  Rutland, VT
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Lebanon, NH
  Rutland, VT
• 1999-01-12 → 2007-04-02
  Morgan Stanley Dw Inc.
  Rutland, VT
  Rutland, VT

Other Businesses

VERMONT ACHIEVEMENT CENTER / 88 PARK ST RUTLAND,VT 05701 / OTHER/ OTHER CHARITABLE ORGANIZATION / HELP CHILDREN AND FAMILIES IN RUTLAND COUNTY / MEMBER OF BOARD OF DIRECTORS / GENERAL DECISION MAKING / START DATE 2/17/2009. Habitat For Hamanity of Rutland County VT / 67 Merchants Row, Rutland, Vermont 05701 / United States / No / Charity / Build affordable, stable housing in the community / Member of Board of directors / In a group decision making capacity, make decisions to best promote the mission of the organization / No / Start Date 10/24/2019

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-17
• S63 Uniform Securities Agent State Law Examination
  1998-11-05