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Max Waller Montgomery

Ubs Financial Services Inc.

Chicago, IL

CRD 7121450

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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 2024-05-23
  • IL RA
    APPROVED
    Since 2024-05-23

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, 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 10/2020 Present
Cresco Labs Chicago IL 07/2020 10/2020
Ubs Financial Services Inc Chicago IL 06/2019 08/2019
H&R Block Kansas City MO 06/2018 08/2018
Carriage Club Kansas City MO 05/2015 05/2018
University Of Kansas Lawrence KS 08/2016 05/2020
  • 10/2020 → Present
    Ubs Financial Services, Inc.
    Chicago, IL
  • 07/2020 → 10/2020
    Cresco Labs
    Chicago, IL
  • 06/2019 → 08/2019
    Ubs Financial Services Inc
    Chicago, IL
  • 06/2018 → 08/2018
    H&R Block
    Kansas City, MO
  • 05/2015 → 05/2018
    Carriage Club
    Kansas City, MO
  • 08/2016 → 05/2020
    University Of Kansas
    Lawrence, KS
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-05-23
  • S66 Uniform Combined State Law Examination
    2024-05-23

View on SEC IAPD

Nearby Firms

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PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
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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