Carolann Hammond

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
PA	RA	APPROVED	2023-01-31
NJ	RA	APPROVED	2004-04-02

PA RA
APPROVED

Since 2023-01-31
NJ RA
APPROVED

Since 2004-04-02

Branch Locations

100 Overlook Center Suite 303, Princeton, NJ 08540 • United States

100 Overlook Center Suite 400, Princeton, NJ 08540 • United States

Long Beach Twp., NJ • United States

Yardley, PA • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Princeton	NJ	09/1991	Present

09/1991 → Present

Ubs Financial Services Inc.

Princeton, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-20

S66 Uniform Combined State Law Examination

2003-05-20

Other Names

Carol A Cecconi

View on SEC IAPD