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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
NY RA APPROVED 2023-10-25
NJ RA APPROVED 2016-04-18
  • NY RA
    APPROVED
    Since 2023-10-25
  • NJ RA
    APPROVED
    Since 2016-04-18

Branch Locations

299 Park Ave 26Th Floor, New York, NY 10171 • United States

51 John F. Kennedy Parkway Suite 240, Short Hills, NJ 07078 • United States

Chatham, NJ • 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. New York NY 11/2015 Present
Other Businesses

DK PHOTOGRAPHY STEMS FROM MY HOBBY OF PHOTOGRAPHY. I HAVE RECENTLY MADE AN ATTEMPT TO SELL MY WORK VIA A WEBSITE. IT'S NOT AN OFFICIAL BUSINESS IN THE SENSE THAT THERE IS NO CORPORATE DOCUMENTS. MY INVESTMENT IN THE PROJECT IS MY OWN TIME AND MONEY AND IT'S BY NO MEANS A PUBLIC COMPANY. THE ADDRESS IS MY HOME ADDRESS (208 WILLOW AVENUE, APT. 101, HOBOKEN, NJ, 7030), SINCE I'M THE ONLY BUSINESS MEMBER, WHICH I GUESS WOULD MAKE ME CEO IF I WERE TO HAVE A TITLE. THIS HAS BEEN IN EXISTENCE SINCE THE END OF JULY 2010. THE AMOUNT OF TIME I DEVOTE TO THIS OTHER BUSINESS VARIES BASED ON THE AMOUNT OF VACATION TIME I TAKE, BUT WOULD SAY IT'S NOT A WHOLE LOT. MY DUTIES CONSIST OF WANDERING AROUND THE WORLD, TAKING PICTURES, AND THEN UPLOADING THEM TO THE INTERNET.DK Photography / 32 Tallmadge Ave Chatham,NJ 07928 / Yes/ Privately Held / USD / No / No / / Start Date 10/28/09 / Stag Lake Corporation / 28 Leaycraft Lane Caldwell, NJ, / United States / Company / Forestry & Wood Products / Family Corporation focusing on timber and farmland / Advisor or advisory group member if advice given may influence an officer/board / Investment guidance / Start Date 9/10/2019 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-18
S63 Uniform Securities Agent State Law Examination 2005-03-22
  • S66 Uniform Combined State Law Examination
    2016-04-18
  • S63 Uniform Securities Agent State Law Examination
    2005-03-22
Other Names
  • Andrew Ernst Kimm
  • Andrew Ernst Kimm

View on SEC IAPD

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