Thomas Andre Ruiz

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
FL	RA	APPROVED	2024-06-25
CT	RA	APPROVED	2021-11-29
NY	RA	APPROVED	2021-10-26
NJ	RA	APPROVED	2010-01-01

FL RA
APPROVED

Since 2024-06-25
CT RA
APPROVED

Since 2021-11-29
NY RA
APPROVED

Since 2021-10-26
NJ RA
APPROVED

Since 2010-01-01

Branch Locations

Cos Cob, CT • United States

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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 Ag	New York	NY	07/2005	Present
Ubs International Inc.	New York	NY	07/2005	Present
Ubs Financial Services Inc.	Weehawken	NJ	01/2010	Present

07/2005 → Present

Ubs Ag

New York, NY
07/2005 → Present

Ubs International Inc.

New York, NY
01/2010 → Present

Ubs Financial Services Inc.

Weehawken, NJ

Previous Registrations

2009-04-13 → 2010-01-01

Ubs International Inc.

New York, NY

Other Businesses

VERO MOREAU LLC / 206 MILBANK AVE GREENWICH,CONNECTICUT 06830 / OTHER/ SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / IMAGE CONSULTING, FASHION STYLING, FASHION MERCHANDISING / PARTNER /OWNER / START DATE 9/10/2012.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-03-30

S66 Uniform Combined State Law Examination

2009-03-30

View on SEC IAPD