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Harrison George Rottman

Ubs Financial Services Inc.

Weehawken, NJ

CRD 7303237

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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
NJ RA APPROVED 2022-05-16
FL RA APPROVED 2022-05-13
MO RA APPROVED 2022-05-12
NY RA APPROVED 2022-05-12
TX RA APPROVED 2022-05-12
  • NJ RA
    APPROVED
    Since 2022-05-16
  • FL RA
    APPROVED
    Since 2022-05-13
  • MO RA
    APPROVED
    Since 2022-05-12
  • NY RA
    APPROVED
    Since 2022-05-12
  • TX RA
    APPROVED
    Since 2022-05-12

Branch Locations

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • 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
Equitable Advisors New York NY 10/2020 Present
Steady Buckets New York NY 07/2017 08/2019
Gettysburg College Gettysburg PA 09/2016 09/2020
Lambda Chi Alpha Gettysburg PA 04/2018 03/2020
Discernation New York NY 06/2016 12/2017
  • 10/2020 → Present
    Equitable Advisors
    New York, NY
  • 07/2017 → 08/2019
    Steady Buckets
    New York, NY
  • 09/2016 → 09/2020
    Gettysburg College
    Gettysburg, PA
  • 04/2018 → 03/2020
    Lambda Chi Alpha
    Gettysburg, PA
  • 06/2016 → 12/2017
    Discernation
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-09-04
  • S66 Uniform Combined State Law Examination
    2020-09-04
Other Names
  • Harrison Rottman
  • Harrison George Rottman
  • Harrison George Rottman

View on SEC IAPD

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