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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
NY RA APPROVED 2025-10-28
  • NY RA
    APPROVED
    Since 2025-10-28

Branch Locations

299 Park Ave 26Th Floor, New York, NY 10171 • United States

New York, NY • 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
Equitable Advisors, Llc New York NY 10/2024 07/2025
Harvard Business School Boston MA 05/2023 08/2023
Superior Seafood New Orleans LA 07/2022 08/2022
Aflac Kenner LA 07/2022 03/2023
Port Washington Yacht Club Port Washington NY 06/2019 08/2021
Tulane University New Orleans LA 08/2020 05/2024
Unemployed Manhasset NY 09/2014 05/2019
Unemployed Manhasset NY 06/2024 09/2024
Ubs Financial Services, Inc New York NY 10/2025 Present
Unemployed Port Washington NY 09/2021 06/2022
  • 10/2024 → 07/2025
    New York, NY
  • 05/2023 → 08/2023
    Harvard Business School
    Boston, MA
  • 07/2022 → 08/2022
    Superior Seafood
    New Orleans, LA
  • 07/2022 → 03/2023
    Aflac
    Kenner, LA
  • 06/2019 → 08/2021
    Port Washington Yacht Club
    Port Washington, NY
  • 08/2020 → 05/2024
    Tulane University
    New Orleans, LA
  • 09/2014 → 05/2019
    Unemployed
    Manhasset, NY
  • 06/2024 → 09/2024
    Unemployed
    Manhasset, NY
  • 10/2025 → Present
    New York, NY
  • 09/2021 → 06/2022
    Unemployed
    Port Washington, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-02
  • S66 Uniform Combined State Law Examination
    2024-09-02
Other Names
  • Sean Patrick Tintle

View on SEC IAPD

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