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Andrea Mary Shea

Ubs Financial Services Inc.

Pepper Pike, OH

Columbus, OH

CRD 3096742

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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
NC RA APPROVED 2023-06-15
FL RA APPROVED 2023-02-10
TX RA APPROVED_RES 2009-06-19
OH RA APPROVED 2009-04-06
  • NC RA
    APPROVED
    Since 2023-06-15
  • FL RA
    APPROVED
    Since 2023-02-10
  • TX RA
    APPROVED_RES
    Since 2009-06-19
  • OH RA
    APPROVED
    Since 2009-04-06

Branch Locations

30050 Chagrin Boulevard Suite 200, Pepper Pike, OH 44124 • United States

5007 Horizons Drive, Columbus, OH 43220 • 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 Cleveland OH 04/2009 10/2016
Ubs Financial Services Pepper Pike OH 10/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-29
S63 Uniform Securities Agent State Law Examination 2005-04-22
  • S65 Uniform Investment Adviser Law Examination
    2005-04-29
  • S63 Uniform Securities Agent State Law Examination
    2005-04-22
Other Names
  • Andrea Mary Gerl

View on SEC IAPD

Nearby Firms

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STIFEL, NICOLAUS & COMPANY, INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC

Nearby Investors

JAMES BURNER CREW
Ridwan Kolade Umar
Pierson Joseph Wagner

Nearby Offices

NIRVANA ANALYTICS, LLC · PEPPER PIKE, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PEPPER PIKE, OH
WELLS FARGO CLEARING SERVICES, LLC · PEPPER PIKE, OH

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