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Benjamin Fonseca

Ubs Financial Services Inc.

Chicago, IL

CRD 7445290

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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
IL RA APPROVED 2024-07-12
  • IL RA
    APPROVED
    Since 2024-07-12

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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
Ubs Financial Services, Inc. Chicago IL 10/2021 Present
Unemployed Chicago IL 07/2021 10/2021
Westin Chicago River North Chicago IL 05/2017 07/2021
St. Mary Of The Angels School/Church Chicago IL 05/2016 05/2017
Midtown Educational Foundation Chicago IL 06/2014 05/2017
  • 10/2021 → Present
    Ubs Financial Services, Inc.
    Chicago, IL
  • 07/2021 → 10/2021
    Unemployed
    Chicago, IL
  • 05/2017 → 07/2021
    Westin Chicago River North
    Chicago, IL
  • 05/2016 → 05/2017
    St. Mary Of The Angels School/Church
    Chicago, IL
  • 06/2014 → 05/2017
    Midtown Educational Foundation
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-12
  • S66 Uniform Combined State Law Examination
    2024-07-12

View on SEC IAPD

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Nearby Investors

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HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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