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Roland Olaf Vonwinckelmann

Ubs Financial Services Inc.

Pasadena, CA

Pasadena, CA

CRD 2727942

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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 2023-09-05
CA RA APPROVED 2000-01-03
  • TX RA
    APPROVED_RES
    Since 2023-09-05
  • CA RA
    APPROVED
    Since 2000-01-03

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States

200 S Los Robles Avenue Suite 600, Pasadena, CA 91101 • 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. Pasadena CA 12/1999 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-11
S63 Uniform Securities Agent State Law Examination 1996-05-24
  • S65 Uniform Investment Adviser Law Examination
    1996-06-11
  • S63 Uniform Securities Agent State Law Examination
    1996-05-24
Other Names
  • Roland O Vonwinckelmann

View on SEC IAPD

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Nearby Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA

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