Joseph John Romanchik

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → Present
  Ubs Financial Services Inc
  Chattanooga, TN

Previous Registrations

• 2008-01-01 → 2009-01-28
  Wells Fargo Clearing Services, Llc
  Chattanooga, TN
• 2004-02-04 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Chattanooga, TN
  St. Louis, MO
  Chattanooga, TN

Other Businesses

100% OWNERSHIP - RENTAL PROPERTY, 7157E RANCHO VISTA DR, UNIT 1010, SCOTTSDALE, AZ 85251. Girls Inc. / 709 South Greenwood Avenue Chattanooga,TN 37404 / Company/ Other Charitable / funding scholarships for highly motivated Girls / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / / meet once per month, advise as to budgetting. / Start Date 10/9/15/ 1 hour per month. NAME OF OTHER BUSINESS: Seascape Homeowners Association, Phase 7C / INVESTMENT RELATED?:N / ADDRESS:P.O. Box 2620 / NATURE OF THE BUSINESS: Maintain the budget and decide on projects to maintain and beautify the property / POSITION: Member of Board of Directors / DUTIES: vote on improvements to the property and other expense items to help maintain and beautify the property / START DATE: 8/1/2022 / HOURS DEVOTED TO BUSINESS: NA JLSB LLCUnited States, DenverColorado United States- 80202-6098, Company, Real Estate, I am buying a house, putting it in an LLC. for liability protection reasons, Proprietor / owner, collect rent. pay the credit line/mortgage interest. pay the taxes and insurance. hopefully sell it someday, start date-11/5/2024.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-10
• S63 Uniform Securities Agent State Law Examination
  1992-01-29