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Sarah Desmond

Ubs Financial Services Inc.

Phoenix, AZ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-09-17
  • TX RA
    APPROVED
    Since 2024-09-17

Branch Locations

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • 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
City Of Phoenix Phoenix AZ 05/2015 11/2018
Platinum Dermatology Phoenix AZ 02/2019 05/2020
Fidelity Investments Scottsdale AZ 08/2020 09/2024
Ubs Financial Services Inc Phoenix AZ 09/2024 Present
  • 05/2015 → 11/2018
    City Of Phoenix
    Phoenix, AZ
  • 02/2019 → 05/2020
    Platinum Dermatology
    Phoenix, AZ
  • 08/2020 → 09/2024
    Fidelity Investments
    Scottsdale, AZ
  • 09/2024 → Present
    Ubs Financial Services Inc
    Phoenix, AZ
Previous Registrations
  • 2023-04-28 → 2024-09-18
    Fidelity Personal And Workplace Advisors
    Scottsdale, AZ
Other Businesses

OBA-97924|OrgNmn:Abbey Boiler Room LLC|Org Addr:Phoenix,Arizona,US|OBA Nature:Bar|Invst Rel:N|Title:member|Duties:The LLC is currently dormant, so I do not have any duties currently. I may assist with setting up the website etc if the LLC gets going again.|StrtDt:12-30-23|TotHrs/mon:10|TrdHrs/mon:0|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-08-23
S63 Uniform Securities Agent State Law Examination 2022-02-16
  • S65 Uniform Investment Adviser Law Examination
    2022-08-23
  • S63 Uniform Securities Agent State Law Examination
    2022-02-16
Other Names
  • Sarah Carolyn Desmond

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
ROBERT W. BAIRD & CO. INCORPORATED
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Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ
SMEAD CAPITAL MANAGEMENT, INC. · PHOENIX, AZ

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