Best Investors Account Sign in

Thomas Emil Rosellini

Ubs Financial Services Inc.

Lihue, HI

Houston, TX

Houston, TX

CRD 2400298

Claim This Profile
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
HI RA APPROVED 2012-02-22
TX RA APPROVED 2010-12-10
  • HI RA
    APPROVED
    Since 2012-02-22
  • TX RA
    APPROVED
    Since 2010-12-10

Branch Locations

Lihue, HI • United States

4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States

Houston, TX • 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 Houston TX 12/2010 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-10
S63 Uniform Securities Agent State Law Examination 2002-12-04
  • S65 Uniform Investment Adviser Law Examination
    2003-03-10
  • S63 Uniform Securities Agent State Law Examination
    2002-12-04
Other Names
  • Emil Rosellini
  • Thomas Rosellini

View on SEC IAPD

More in Lihue, HI

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor