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Sandra Ago

Ubs Financial Services Inc.

Houston, TX

Houston, TX

CRD 5817983

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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 2018-08-09
  • TX RA
    APPROVED
    Since 2018-08-09

Branch Locations

4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States

Houston, TX • 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
Hines Securities Inc Houston TX 07/2013 07/2018
Ubs Financial Services Inc. Houston TX 07/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-09
S63 Uniform Securities Agent State Law Examination 2011-10-07
  • S66 Uniform Combined State Law Examination
    2018-08-09
  • S63 Uniform Securities Agent State Law Examination
    2011-10-07
Other Names
  • Sandra G Marquez
  • Sandra Gabriela Marquez
  • Sandra Gabriela Ago

View on SEC IAPD

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Nearby Investors

John Charles Robinson
CRYSTAL ALLISON MCKEON
AUSTIN GENTRY MARRS

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BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX

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