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Marc J Mosher

Ubs Financial Services Inc.

Oakbrook Terrace, IL

Chicago, IL

CRD 2407359

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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
IL RA APPROVED 2019-03-18
  • IL RA
    APPROVED
    Since 2019-03-18

Branch Locations

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • United States

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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oak Brook IL 11/2013 03/2019
Bank Of America, N.A. Oak Brook IL 11/2013 03/2019
Ubs Financial Services Inc Chicago IL 03/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-05
S63 Uniform Securities Agent State Law Examination 2000-08-04
  • S66 Uniform Combined State Law Examination
    2014-02-05
  • S63 Uniform Securities Agent State Law Examination
    2000-08-04
Designations
  • Certified Financial Planner
Other Names
  • Marc J Mosher
  • Marc John Mosher

View on SEC IAPD

Nearby Firms

NORTHERN TRUST SECURITIES, INC.
EDELMAN FINANCIAL ENGINES
AMERIPRISE FINANCIAL SERVICES, LLC

Nearby Investors

STEVEN ALLEN SMITH
BARRY JASON DUPUY
MANILA SUDHIR KALA

Nearby Offices

NORTHERN TRUST SECURITIES, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL
EDELMAN FINANCIAL ENGINES · OAKBROOK TERRACE, IL

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