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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 2021-04-12
  • IL RA
    APPROVED
    Since 2021-04-12

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Chicago, IL • 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
Wells Fargo Clearing Services, Llc Oak Brook IL 08/2019 04/2021
Fairfield University Fairfield CT 08/2015 05/2019
Ubs Financial Services One North Wacker IL 04/2021 Present
  • 08/2019 → 04/2021
    Oak Brook, IL
  • 08/2015 → 05/2019
    Fairfield University
    Fairfield, CT
  • 04/2021 → Present
    Ubs Financial Services
    One North Wacker, IL
Previous Registrations
Other Businesses

1) Name of Business- Box United / Address- Chicago, IL 60646 / Investment Related- NO / Nature- On the Young Board for Chicago based charity / Role- Member of Board of directors / Duty- Organize annual fundraising gala and evens throughout the year as a young board member / Start Date- 1/1/2023 / Time Required- NO /// 2) St. Alphonsus School; Chicago, Illinois 60657; Educational Establishment; Sport & Leisure Facilities; Volleyball coach, grade school; Start date: 2/22/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-11
  • S66 Uniform Combined State Law Examination
    2019-12-11
Other Names
  • Nora Quinn
  • Nora O'BRien Quinn

View on SEC IAPD

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