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John Tracy Pruess

Ubs Financial Services Inc.

Sacramento, CA

Mill Valley, CA

CRD 3133284

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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 2015-11-23
TX RA APPROVED_RES 2015-11-23
  • CA RA
    APPROVED
    Since 2015-11-23
  • TX RA
    APPROVED_RES
    Since 2015-11-23

Branch Locations

1610 Arden Way, Sacramento, CA 95815 • United States

2 Belvedere Place Suite 220, Mill Valley, CA 94941 • 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 San Francisco CA 11/2015 Present
Previous Registrations
  • 2008-09-23 → 2015-12-17
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
  • 2008-03-19 → 2008-10-07
    Lehman Brothers Inc.
    San Francisco, CA
    New York, NY
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-18
S63 Uniform Securities Agent State Law Examination 2000-03-30
  • S66 Uniform Combined State Law Examination
    2008-03-18
  • S63 Uniform Securities Agent State Law Examination
    2000-03-30

View on SEC IAPD

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GUANILL WEALTH MANAGEMENT
ENDEAVOR FINANCIAL PLANNING
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Nearby Investors

EDWARD SAL GUANILL
GARY PETER LIBHART
PAIGE DETER FARRELL

Nearby Offices

GUANILL WEALTH MANAGEMENT · SACRAMENTO, CA
ENDEAVOR FINANCIAL PLANNING · SACRAMENTO, CA
LPL FINANCIAL LLC · SACRAMENTO, CA

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