Whitney Randolph

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

• 10/2010 → Present
  Ubs Financial Services Inc
  Houston, TX

Previous Registrations

• 2009-10-23 → 2010-10-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX
• 2005-11-02 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Houston, TX
  Houston, TX
  Houston, TX

Other Businesses

1)ROCKWELL FUND (FOUNDATION) / Investment related?:no/ 770 S Post Oak Ln #525 HOUSTON, TEXAS 77056 / GRANT MAKING / CHARITABLE GIFTING / Trustee & Treasurer/ Trustee - Review & Decision Grant proposals, Investment Committee Member (with no investment selection powers). Treasurer - Function as back-up in the case where the CEO, CFO and Controller are incapacitated and unable to sign checks or direct wires. For that reason, the Treasurer is listed as an authorized signer on accounts. Currently, these accounts are with Wells Fargo, Morgan Stanley, Charles Schwab and RBC. This is an abundance of caution back-up plan, which the Treasurer has not had to fulfill, since I have been on the board for the last 12 years, nor to my knowledge ever./START DATE 12/10/2008 / 2 HRS PER MONTH. 2)University of Houston Bauer College / 212 E Cullen Building Houston,TX 77204 / No/ Non Profit / USD / No / No / / Start Date 09/01/2011 / 3)Numina Foundation Trustee, Treasurer ,United States , Trustee responsibilities as defined in Numina's By Laws , Start date 6/11/2026

Exams

• S66 Uniform Combined State Law Examination
  2005-11-01

Other Names

• Whitney Randolph-Fiedler