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Joel Guzman

Ubs Financial Services Inc.

Weehawken, NJ

CRD 7375843

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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 2022-09-21
  • NJ RA
    APPROVED
    Since 2022-09-21

Branch Locations

1200 Harbor Boulevard, 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
Best Buy Co. Inc. Jersey City NJ 09/2018 05/2019
Americorps Newark NJ 08/2019 05/2020
American Express New York NY 07/2020 08/2020
Ubs Financial Services Inc. Weehawken NJ 06/2021 08/2021
Ubs Financial Services Inc. Jersey City NJ 08/2022 Present
Rutgers University Jersey City NJ 09/2018 05/2022
N/A Jersey City NJ 01/2012 07/2018
  • 09/2018 → 05/2019
    Best Buy Co. Inc.
    Jersey City, NJ
  • 08/2019 → 05/2020
    Americorps
    Newark, NJ
  • 07/2020 → 08/2020
    American Express
    New York, NY
  • 06/2021 → 08/2021
    Ubs Financial Services Inc.
    Weehawken, NJ
  • 08/2022 → Present
    Ubs Financial Services Inc.
    Jersey City, NJ
  • 09/2018 → 05/2022
    Rutgers University
    Jersey City, NJ
  • 01/2012 → 07/2018
    N/A
    Jersey City, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-20
  • S66 Uniform Combined State Law Examination
    2022-09-20

View on SEC IAPD

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