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Spencer J Pearson

Ubs Financial Services Inc.

New York, NY

Westport, CT

CRD 5832373

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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 2021-10-26
CT RA APPROVED 2021-10-20
TX RA APPROVED 2012-01-30
  • NY RA
    APPROVED
    Since 2021-10-26
  • CT RA
    APPROVED
    Since 2021-10-20
  • TX RA
    APPROVED
    Since 2012-01-30

Branch Locations

299 Park Ave 26Th Floor, New York, NY 10171 • United States

Westport, CT • 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 Fs New York NY 07/2010 Present
  • 07/2010 → Present
    Ubs Fs
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-12
  • S66 Uniform Combined State Law Examination
    2010-11-12
Other Names
  • Spencer Joseph Pearson

View on SEC IAPD

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