Barbara Ann Alton

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
VT	RA	APPROVED	2023-05-26
NJ	RA	APPROVED	2022-07-07

VT RA
APPROVED

Since 2023-05-26
NJ RA
APPROVED

Since 2022-07-07

Branch Locations

501 Fellowship Road, Mt. Laurel, NJ 08054 • United States

Tabernacle, NJ • 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	Boston	MA	11/2008	Present

11/2008 → Present

Ubs Financial Services Inc

Boston, MA

Other Businesses

1)BOSTON INTERCOLLEGIATE ALUMNAE ASSOCIATION OF KAPPA KAPPA GAMMA / 520 EAST TOWN ROAD PO BOX 38,COLUMBUS OH 43216 / MEMBERSHIP AND PHILANTHROPY WOMENS DEVELOPMENT / OFFICER / / TREASURER / START DATE 7/10/2014 2)Boston Intercollegiate Alumnae Association of Kappa Kappa Gamma United States / 520 East Town Road Columbus OH / www.bostonkappas.com/ Association (i.e., Trade or Industry, Sport...) / Other / No / Officer / Start Date 7/10/2014 No No /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-06-30
S63	Uniform Securities Agent State Law Examination	1991-12-06

S65 Uniform Investment Adviser Law Examination

2022-06-30
S63 Uniform Securities Agent State Law Examination

1991-12-06

Other Names

Barbara Ann Alton
Barbara Ann Driscoll

View on SEC IAPD