Jason Christopher Klein

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED_RES	2019-06-18
FL	RA	APPROVED	2007-02-09

NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED_RES

Since 2019-06-18
FL RA
APPROVED

Since 2007-02-09

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

250 Delaware Avenue, Buffalo, NY 14202 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Williamsville	NY	02/2007	Present

02/2007 → Present

Ubs Financial Services Inc.

Williamsville, NY

Previous Registrations

1999-05-14 → 2007-02-09

Keybanc Capital Markets Inc.

Williamsville, NY

Williamsville, NY

Other Businesses

1)SECRETS OF CHAMPIONS / STREET WASHINGTON,DC 00000 / SPORT & LEISURE FACILITIES / PEAK PERFORMANCE TRAINING FOR SPORT & BUSINESS / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE / QUARTERLY VIRTUAL OR PHYSICAL BUSINESS STRATEGY MEETINGS / START DATE 9/5/2013

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-20
S63	Uniform Securities Agent State Law Examination	1990-11-30

S65 Uniform Investment Adviser Law Examination

1999-12-20
S63 Uniform Securities Agent State Law Examination

1990-11-30

Other Names

Jason Klein

View on SEC IAPD