William Montgomery Cerf

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

• 07/2015 → Present
  Ubs Financial Services Inc.
  New York, NY

Previous Registrations

• 2009-01-21 → 2015-07-23
  Barclays Capital Inc.
  New York, NY
  New York, NY
  New York, NY
• 2008-03-20 → 2008-10-15
  Lehman Brothers Inc.
  New York, NY
  New York, NY

Other Businesses

1) OCJ Capital / 35 Warfield Street Upper Montclair, NJ 07043 / Sole proprietorship/ Other empty LLC for occasional prospective personal investments / none / Sole proprietorship / none / Start Date 10/5/05 /// 2) CORNELL OUTDOOR EDUCATION ADVISORY BOARD / ITHACA, NY 19853 / NOT INVESTMENT RELATED / NOT FOR PROFIT / ADVISORY BOARD MEMBER / AFFILIATION BEGIN DATE 06/01/2012 / AFFILIATION END DATE 06/01/2015 / 3 HOURS AFTER BUSINESS HOURS PER MONTH /// 3) MONTCLAIR STATE UNIVERSITY - SCHOOL OF BUSINESS / 1 NORMAL AVENUE, ROOM 454, PARTRIDGE HALL, MONTCLAIR, NJ 07043 / NOT INVESTMENT RELATED / NOT FOR PROFIT / DIRECTOR / AFFILIATION BEGIN DATE 01/01/2002 / AFFILIATION END DATE NO END DATE / 7 HOURS PER MONTH DURING BUSINESS HOURS/ 8 HOURS AFTER BUSINESS HOURS PER MONTH /// 4) MONTCLAIR STATE UNIVERSITY; NO; 1 NORMAL AVENUE, MONTCLAIR, NJ; PUBLIC EDUCATIONAL INSTITUTION; ADJUNCT PROFESSOR; 06/01/2013; 6 HOURS PER MONTH; 0 DURING BUSINESS HOURS /// 5) Montclair State University / Normal Avenue Montclair, New Jersey 07043 / No/ Non Profit / USD / No / No / / Start Date 01/01/2013 /// 6) Cornell University / Ithaca United States,New York https://coe.cornell.edu/ / No/ Magnus Ferguson, Director Advisory Board to Cornell's Outdoor Education Program / No / Other / Informal Advisory Board to Athletic Department / Advisory Board Member / Start Date 09/15/2012/ Appointed No / No

Exams

• S66 Uniform Combined State Law Examination
  2021-11-16
• S63 Uniform Securities Agent State Law Examination
  2006-07-17

Other Names

• Monty Cerf