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Jay M Maltby

Ubs Financial Services Inc.

Chicago, IL

CRD 2232748

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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
OK RA APPROVED 2006-11-07
IL RA APPROVED 2006-11-03
TX RA APPROVED 2006-11-03
  • OK RA
    APPROVED
    Since 2006-11-07
  • IL RA
    APPROVED
    Since 2006-11-03
  • TX RA
    APPROVED
    Since 2006-11-03

Branch Locations

One North Wacker Drive Ste 3300, 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
Ubs Financial Services Inc Oakbrook Terrace IL 11/2006 Present
Previous Registrations
  • 1998-02-14 → 2006-11-06
    Morgan Stanley Dw Inc.
    Oak Brook, IL
    Oak Brook, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-29
S63 Uniform Securities Agent State Law Examination 1992-06-02
  • S65 Uniform Investment Adviser Law Examination
    1993-01-29
  • S63 Uniform Securities Agent State Law Examination
    1992-06-02

View on SEC IAPD

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Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
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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