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Diane Mcminds

Ubs Financial Services Inc.

Napa, CA

Napa, CA

CRD 2358956

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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
TX RA APPROVED_RES 2004-10-20
CA RA APPROVED 2003-07-03
  • TX RA
    APPROVED_RES
    Since 2004-10-20
  • CA RA
    APPROVED
    Since 2003-07-03

Branch Locations

1455 First Street Suite 300, Napa, CA 94559 • United States

Napa, CA • 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 Napa CA 11/2013 Present
Previous Registrations
  • 1999-10-19 → 2003-07-07
    Banc Of America Securities Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-10
S63 Uniform Securities Agent State Law Examination 1993-07-29
  • S65 Uniform Investment Adviser Law Examination
    1994-10-10
  • S63 Uniform Securities Agent State Law Examination
    1993-07-29
Other Names
  • Diane Lynn Mcminds
  • Diane M Loew
  • Diane L. Schiefferly
  • Diane Mcminds Schiefferly

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
MORGAN STANLEY · Napa, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA

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