Joyce Ann Luke

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

• 04/2016 → 09/2017
  The Standard
  Cincinnati, OH
• 09/2017 → 07/2021
  Ultimus Fund Solutions
  Cincinnati, OH
• 09/2017 → 07/2021
  Ultimus Fund Distributors
  Cincinnati, OH
• 08/2021 → 05/2025
  Wells Fargo Clearing Services, Llc
  Miamisburg, OH
• 05/2025 → Present
  Ubs Financial Services Inc
  Miamisburg, OH

Previous Registrations

• 2021-08-05 → 2025-05-19
  Wells Fargo Clearing Services, Llc
  Miamisburg, OH
• 2004-07-07 → 2005-10-18
  J.P. Morgan Asset Management
  Columbus, OH

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-10-29
• S66 Uniform Combined State Law Examination
  2004-06-11
• S63 Uniform Securities Agent State Law Examination
  1999-11-03

Other Names

• Joyce Ann Neargarder
• Joyce Ann Neargarder
• Joyce Ann Luke
• Joyce A Luke