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Rohan Shah

Ubs Financial Services Inc.

New York, NY

CRD 6972216

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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
NY RA APPROVED 2025-01-27
NJ RA APPROVED 2020-03-09
  • NY RA
    APPROVED
    Since 2025-01-27
  • NJ RA
    APPROVED
    Since 2020-03-09

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
Neuberger Berman Chicago IL 06/2018 08/2018
Student Hillsborough NJ 01/2008 05/2019
Tenor Capital Management Co. New York NY 05/2017 07/2017
Ubs Weehawken NJ 09/2019 11/2019
Unemployed Hillsborough NJ 05/2019 08/2019
Ubs Financial Services Inc. New York NY 11/2019 Present
  • 06/2018 → 08/2018
    Neuberger Berman
    Chicago, IL
  • 01/2008 → 05/2019
    Student
    Hillsborough, NJ
  • 05/2017 → 07/2017
    Tenor Capital Management Co.
    New York, NY
  • 09/2019 → 11/2019
    Ubs
    Weehawken, NJ
  • 05/2019 → 08/2019
    Unemployed
    Hillsborough, NJ
  • 11/2019 → Present
    Ubs Financial Services Inc.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-03-06
  • S66 Uniform Combined State Law Examination
    2020-03-06
Other Names
  • Rohan Sanjay Shah

View on SEC IAPD

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