Traci Beth Simpson

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

Authority	Category	Status	Date
NJ	RA	APPROVED	2010-05-11

NJ RA
APPROVED

Since 2010-05-11

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

1200 Harbor Blvd. 8Th Fl., Weehawken, NJ 07086 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Ln Ocean, 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

Organization	City	State	From	To
Ubs Financial Services	Weehawken	NJ	03/2007	Present

03/2007 → Present

Ubs Financial Services

Weehawken, NJ

Other Businesses

Expect Miracles Foundation / United States / 89 South St. Suite 701 Boston, MA 02111 / Charity /expectmiraclesfoundation/Endeavor to increase UBS support to the organization through word of mouth, participation in events,or potentially hosting a meeting or event Serve as a ambassador to the foundation by informing others of its mission and introducing others to the organization to encourage their involvement Recommend potential Board of Director candidates/ Serve on at least one committee / Start Date 1/1/2020

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-05-07

S66 Uniform Combined State Law Examination

2010-05-07

Other Names

Traci Beth Sherman
Traci Beth Sherman

View on SEC IAPD