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Sara Ashly Cassidy

Ubs Financial Services Inc.

Barrington, IL

Barrington, IL

Chicago, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-10-13
  • IL RA
    APPROVED
    Since 2022-10-13

Branch Locations

303 E. Main Street 3Rd Floor, Barrington, IL 60010 • United States

303 East Main Street 3Rd Floor, Barrington, IL 60010 • United States

One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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
Robert W. Baird & Co. Chicago IL 03/2015 09/2022
Ubs Financial Services Chicago IL 10/2022 Present
  • 03/2015 → 09/2022
    Robert W. Baird & Co.
    Chicago, IL
  • 10/2022 → Present
    Ubs Financial Services
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-03
S63 Uniform Securities Agent State Law Examination 2009-12-30
  • S66 Uniform Combined State Law Examination
    2014-11-03
  • S63 Uniform Securities Agent State Law Examination
    2009-12-30
Other Names
  • Sara A Winter
  • Sara Ashly Winter

View on SEC IAPD

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PETER ANTHONY BALISTRERI
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ANTHONY JOSEPH BALDASSANO
BRAD ALLAN HERMAN
DANIEL PAUL FELDSTEIN

Other Offices

MERIT FINANCIAL ADVISORS · Barrington, IL
AMERIPRISE FINANCIAL SERVICES, LLC · Barrington, IL
PATRICK M. SWEENEY & ASSOCIATES, INC · Barrington, IL
SEQUOIA WEALTH MANAGEMENT, LLC · Barrington, IL
LPL FINANCIAL LLC · BARRINGTON, IL
CARTER FINANCIAL GROUP, INC. · BARRINGTON, IL
EDWARD JONES · BARRINGTON, IL
TORANA GROUP LLC · BARRINGTON, IL

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