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Pablo Antonio De La Rosa

Ubs Financial Services Inc.

New York, NY

Los Angeles, CA

CRD 5749254

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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
NY RA APPROVED 2021-02-20
TX RA APPROVED_RES 2013-04-22
CA RA APPROVED 2011-05-02
  • NY RA
    APPROVED
    Since 2021-02-20
  • TX RA
    APPROVED_RES
    Since 2013-04-22
  • CA RA
    APPROVED
    Since 2011-05-02

Branch Locations

299 Park Avenue, New York, NY 10017 • United States

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • 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 Century City CA 04/2011 08/2024
Ubs Financial Services Inc Los Angeles CA 08/2024 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-19
  • S66 Uniform Combined State Law Examination
    2010-04-19
Other Names
  • Tony De La Rosa

View on SEC IAPD

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