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Gerard H Soriano Jr.

Ubs Financial Services Inc.

San Francisco, CA

Alamo, CA

Walnut Creek, CA

CRD 2631846

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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
TX RA APPROVED_RES 2009-08-18
CA RA APPROVED 2001-10-25
  • TX RA
    APPROVED_RES
    Since 2009-08-18
  • CA RA
    APPROVED
    Since 2001-10-25

Branch Locations

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

Alamo, CA • United States

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94596 • 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 San Francisco CA 11/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-06
S63 Uniform Securities Agent State Law Examination 1998-11-09
  • S65 Uniform Investment Adviser Law Examination
    2001-03-06
  • S63 Uniform Securities Agent State Law Examination
    1998-11-09
Other Names
  • Gerard H (Jr) Soriano
  • Gerard Henry Soriano
  • Gerard H Soriano

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

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