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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
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2020-09-02
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2020-09-02

Branch Locations

11 Madison Avenue, New York, NY 10010 • United States

Upper Saddle River, NJ • 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
Wps Advisor New York City NY 02/2014 01/2017
Intelligration Summit NJ 01/2017 10/2019
Ubs Financial Services Inc New York City NY 10/2019 Present
  • 02/2014 → 01/2017
    Wps Advisor
    New York City, NY
  • 01/2017 → 10/2019
    Intelligration
    Summit, NJ
  • 10/2019 → Present
    New York City, NY
Other Businesses

1) The College Foundation of the University of Virginia/Address: 2410 Old Ivy Road, Suite 100CharlottesvilleVirginia/Nature of Business: The College Foundation raises funds to support the initiatives of the Dean of The College of Arts and Sciences at The University of Virginia. The Foundation's board also provides feedback to the Dean and his staff and faculty./Position: Member of Board of directors/ Duties: I am currently Chairman of the Board./ Start Date :9/9/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-31
S63 Uniform Securities Agent State Law Examination 1994-08-11
  • S66 Uniform Combined State Law Examination
    2020-07-31
  • S63 Uniform Securities Agent State Law Examination
    1994-08-11
Other Names
  • Michael Diafouka
  • Miguel Patrick Maquetdiafouka
  • Michael Maquet
  • Michael Maquet-Diafouka
  • Miguel Patrick Maquet-Diafouka

View on SEC IAPD

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