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Sandra J Griffin

Ubs Financial Services Inc.

Mill Valley, CA

San Francisco, CA

Larkspur, CA

CRD 7110731

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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 2022-09-13
  • CA RA
    APPROVED
    Since 2022-09-13

Branch Locations

2 Belvedere Place Suite 220, Mill Valley, CA 94941 • United States

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

Larkspur, CA • 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
Robert. W. Baird & Co Mill Valley CA 04/2019 05/2022
A Lady's Touch Inc San Rafael CA 10/2016 04/2019
Unemployed Larkspur CA 02/2011 10/2016
Ubs Financial Services Inc San Francisco CA 06/2022 Present
  • 04/2019 → 05/2022
    Robert. W. Baird & Co
    Mill Valley, CA
  • 10/2016 → 04/2019
    A Lady's Touch Inc
    San Rafael, CA
  • 02/2011 → 10/2016
    Unemployed
    Larkspur, CA
  • 06/2022 → Present
    Ubs Financial Services Inc
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-12
  • S66 Uniform Combined State Law Examination
    2022-09-12
Other Names
  • Sandra J Griffin
  • Sandra Jayne Clark
  • Sandra Jayne Griffin

View on SEC IAPD

Nearby Firms

PRIVATE WEALTH PARTNERS, LLC
DIPSEA CAPITAL, LLC
OSAIC WEALTH, INC.

Nearby Investors

RICHARD GEORGE KUCHEN
WILLIAM FRANKLIN DAGLEY
JASON MARTIN SAXON

Nearby Offices

PRIVATE WEALTH PARTNERS, LLC · MILL VALLEY, CA
DIPSEA CAPITAL, LLC · MILL VALLEY, CA
OSAIC WEALTH, INC. · Mill Valley, CA

More in Mill Valley, CA

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