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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
FL RA APPROVED 2024-02-13
CO RA APPROVED 2024-02-12
NJ RA APPROVED 2022-02-17
  • FL RA
    APPROVED
    Since 2024-02-13
  • CO RA
    APPROVED
    Since 2024-02-12
  • NJ RA
    APPROVED
    Since 2022-02-17

Branch Locations

1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • United States

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • 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 Asset Management New York NY 09/2015 02/2021
Ubs Financial Services Inc. Weehawken NJ 03/2021 Present
Other Businesses

1) Christ Church Rye; Organization- Foundation; Principal Business Activity - Church; Role -volunteer, christ church investment committee; Duty -quarterly meeting to review the investments within $3 million foundation; Receive Compensation-No. /// 2) Name of Business: MAKERS./ Address; 770 Broadway New York New YorkUnited States 100003./ Investment Related: No./ Nature: media company focused on empowering women across industry./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: "? Serve as chair of the selection process for MAKERS members within UBS ? Provide unbiased insights and ideas from an expert point of view ? Encourage and support the exploration of new business ideas ? Act as a resource for executive women leaders when needed ? Explore business challenges and opportunities in the marketplace" Start Date; 1/1/2022./ Time Required: yes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-16
S63 Uniform Securities Agent State Law Examination 2017-08-09
  • S66 Uniform Combined State Law Examination
    2022-02-16
  • S63 Uniform Securities Agent State Law Examination
    2017-08-09
Other Names
  • Nicole Tillinghast Jenkins
  • Nicole Fuller Tillinghast

View on SEC IAPD

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