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Sean Patrick Oday

Ubs Financial Services Inc.

Irvine, CA

CRD 7096405

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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 2025-01-25
  • CA RA
    APPROVED
    Since 2025-01-25

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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 04/2019 04/2024
Lending Club San Francisco CA 04/2018 02/2019
Bubba Gumps San Francisco CA 04/2015 04/2018
Ubs Irvine CA 05/2024 Present
  • 04/2019 → 04/2024
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Newport Beach, CA
  • 04/2018 → 02/2019
    Lending Club
    San Francisco, CA
  • 04/2015 → 04/2018
    Bubba Gumps
    San Francisco, CA
  • 05/2024 → Present
    Ubs
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-24
  • S66 Uniform Combined State Law Examination
    2025-01-24
Other Names
  • Sean Oday

View on SEC IAPD

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