Best Investors Account Sign in

Daniel Scott Rothman

Ubs Financial Services Inc.

Red Bank, NJ

Red Bank, NJ

CRD 5827466

Claim This Profile
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_RES 2024-08-05
NJ RA APPROVED 2020-12-07
  • TX RA
    APPROVED_RES
    Since 2024-08-05
  • NJ RA
    APPROVED
    Since 2020-12-07

Branch Locations

Red Bank, NJ • United States

140 Broad Street Suite 100, Red Bank, NJ 07701 • 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. Red Bank NJ 04/2018 Present
Compassion First Pet Hospitals Tinton Falls NJ 01/2017 11/2017
American Income Life Edison NJ 05/2016 12/2016
Unemployed Red Bank NJ 11/2017 04/2018
  • 04/2018 → Present
    Ubs Financial Services Inc.
    Red Bank, NJ
  • 01/2017 → 11/2017
    Compassion First Pet Hospitals
    Tinton Falls, NJ
  • 05/2016 → 12/2016
    American Income Life
    Edison, NJ
  • 11/2017 → 04/2018
    Unemployed
    Red Bank, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-04
  • S66 Uniform Combined State Law Examination
    2020-12-04
Other Names
  • Dan Scott Rothamn

View on SEC IAPD

More in Red Bank, NJ

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor