Best Investors Account Sign in

Connor Cole

Ubs Financial Services Inc.

Irvine, CA

CRD 7429209

Claim This Profile
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 2025-06-14
  • CA RA
    APPROVED
    Since 2025-06-14

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • 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
California Lutheran University Thousand Oaks CA 08/2017 05/2021
Property Prep Gardena CA 01/2020 12/2021
Handel's Ice Cream Redondo Beach CA 07/2015 07/2017
Ubs Financial Services Irvine CA 12/2021 Present
Bishop Montgomery High School Torrance CA 08/2013 05/2017
  • 08/2017 → 05/2021
    California Lutheran University
    Thousand Oaks, CA
  • 01/2020 → 12/2021
    Property Prep
    Gardena, CA
  • 07/2015 → 07/2017
    Handel's Ice Cream
    Redondo Beach, CA
  • 12/2021 → Present
    Ubs Financial Services
    Irvine, CA
  • 08/2013 → 05/2017
    Bishop Montgomery High School
    Torrance, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-13
  • S66 Uniform Combined State Law Examination
    2025-06-13

View on SEC IAPD

More in Irvine, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor