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Clarisa Isabel Herrera

Ubs Financial Services Inc.

New York, NY

CRD 7344981

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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
CA RA APPROVED 2024-04-25
NJ RA APPROVED 2024-04-25
NY RA APPROVED 2024-04-25
NC RA APPROVED 2024-04-25
TX RA APPROVED 2024-04-25
FL RA APPROVED 2023-12-26
  • CA RA
    APPROVED
    Since 2024-04-25
  • NJ RA
    APPROVED
    Since 2024-04-25
  • NY RA
    APPROVED
    Since 2024-04-25
  • NC RA
    APPROVED
    Since 2024-04-25
  • TX RA
    APPROVED
    Since 2024-04-25
  • FL RA
    APPROVED
    Since 2023-12-26

Branch Locations

11 Madison Avenue, New York, NY 10010 • 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
College Of The Holy Cross Worcester MA 08/2018 06/2020
Ubs Financial Services Inc Miami FL 07/2023 Present
Academia Merici Caracas 07/2013 06/2018
University Of Florida Gainesville FL 08/2020 05/2023
  • 08/2018 → 06/2020
    College Of The Holy Cross
    Worcester, MA
  • 07/2023 → Present
    Ubs Financial Services Inc
    Miami, FL
  • 07/2013 → 06/2018
    Academia Merici
    Caracas
  • 08/2020 → 05/2023
    University Of Florida
    Gainesville, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-22
  • S66 Uniform Combined State Law Examination
    2023-12-22
Other Names
  • Clarisa Isabel Herrera

View on SEC IAPD

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