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David Michael Shaw

Ubs Financial Services Inc.

San Francisco, CA

CRD 6192626

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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_RES 2018-08-01
CA RA APPROVED 2015-08-28
NJ RA APPROVED 2013-07-23
  • TX RA
    APPROVED_RES
    Since 2018-08-01
  • CA RA
    APPROVED
    Since 2015-08-28
  • NJ RA
    APPROVED
    Since 2013-07-23

Branch Locations

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • 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 San Francisco CA 09/2015 Present
Other Businesses

1. US Navy Reserve, USA Naval Reserve Officer, start date-10/1/2012, Farmingdale NY USA 11735.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-07-08
  • S66 Uniform Combined State Law Examination
    2013-07-08
Other Names
  • David Shaw

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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