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Noelle M Bond

Ubs Financial Services Inc.

Chicago, IL

CRD 4973263

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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 2026-01-07
  • IL RA
    APPROVED
    Since 2026-01-07

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
Charles Schwab & Co., Inc. Chicago IL 10/2017 07/2022
Optionsxpress Chicago IL 10/2015 10/2017
Charles Schwab Bank, Ssb Chicago IL 07/2022 03/2025
Ubs Financial Services, Inc Chicago IL 01/2026 Present
Charles Schwab & Co, Inc. Chicago IL 07/2022 03/2025
Unemployed Chicago IL 03/2025 12/2025
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-20
S63 Uniform Securities Agent State Law Examination 2014-01-14
  • S66 Uniform Combined State Law Examination
    2018-12-20
  • S63 Uniform Securities Agent State Law Examination
    2014-01-14
Other Names
  • Noelle Bond
  • Noelle M Bond

View on SEC IAPD

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Nearby Investors

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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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