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Kevin Dommes

Ubs Financial Services Inc.

Weehawken, NJ

Walnut Creek, CA

CRD 5778575

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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
CA RA APPROVED 2016-10-27
  • CA RA
    APPROVED
    Since 2016-10-27

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

1255 Treat Boulevard Suite 1000, Walnut Creek, CA 94597 • 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
Charles Schwab Bank Walnut Creek CA 04/2010 09/2016
Charles Schwab & Co., Inc. Walnut Creek CA 04/2010 09/2016
Ubs Bank Usa Walnut Creek CA 09/2016 Present
Ubs Financial Services Walnit Creek CA 09/2016 Present
  • 04/2010 → 09/2016
    Charles Schwab Bank
    Walnut Creek, CA
  • 04/2010 → 09/2016
    Charles Schwab & Co., Inc.
    Walnut Creek, CA
  • 09/2016 → Present
    Ubs Bank Usa
    Walnut Creek, CA
  • 09/2016 → Present
    Ubs Financial Services
    Walnit Creek, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-26
  • S66 Uniform Combined State Law Examination
    2016-10-26
Other Names
  • Kevin Sidney Dommes
  • Kevin Sidney Dommes

View on SEC IAPD

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