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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 2025-01-10
  • CA RA
    APPROVED
    Since 2025-01-10

Branch Locations

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • 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
Goldman Sachs & Co. Llc San Francisco CA 09/2020 03/2024
Morgan Stanley San Francisco CA 01/2020 08/2020
Bank Of America Merrill Lynch San Francisco CA 07/2019 12/2019
Merrill Lynch Tacoma WA 09/2018 04/2019
Becu Tukwila WA 06/2018 09/2018
University Of Washington Seattle WA 04/2017 06/2019
Tacoma Community College Tacoma WA 06/2015 04/2017
Ubs Financial Services Inc San Francisco CA 07/2024 Present
Unemployed Millbrae CA 04/2024 07/2024
  • 09/2020 → 03/2024
    Goldman Sachs & Co. Llc
    San Francisco, CA
  • 01/2020 → 08/2020
    Morgan Stanley
    San Francisco, CA
  • 07/2019 → 12/2019
    Bank Of America Merrill Lynch
    San Francisco, CA
  • 09/2018 → 04/2019
    Merrill Lynch
    Tacoma, WA
  • 06/2018 → 09/2018
    Becu
    Tukwila, WA
  • 04/2017 → 06/2019
    University Of Washington
    Seattle, WA
  • 06/2015 → 04/2017
    Tacoma Community College
    Tacoma, WA
  • 07/2024 → Present
    San Francisco, CA
  • 04/2024 → 07/2024
    Unemployed
    Millbrae, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-01-10
S63 Uniform Securities Agent State Law Examination 2021-02-12
  • S65 Uniform Investment Adviser Law Examination
    2025-01-10
  • S63 Uniform Securities Agent State Law Examination
    2021-02-12

View on SEC IAPD

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