Dustin Brien Tracy

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2010-09-17
CA	RA	APPROVED	2007-09-10

TX RA
APPROVED_RES

Since 2010-09-17
CA RA
APPROVED

Since 2007-09-10

Branch Locations

El Cajon, CA • United States

600 West Broadway Suite 2100, San Diego, CA 92101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services	San Diego	CA	02/2006	Present

02/2006 → Present

Ubs Financial Services

San Diego, CA

Other Businesses

AUTISM SOCIETY OF SAN DIEGO / 4699 MURPHEY CANYON RD SAN DIEGO,CA 92123 / Other/ Other SUPPORT AUTISM PROGRAMS IN SAN DIEGO COUNTY / FUND RAISING / Member of Board of Directors / / SUPPORTING FUND RAISING EVENTS FOR AUTISM PROGRAMS / Start Date 06/14/2017/ End Date 06/20/2018/NON-PROFIT ORGANIZATION 43271 / D & D T - T Family Trust United States, , CA United States , Sole proprietorship , Real Estate , rental , Proprietor / owner , Manage real estate and tenant lease, Start date 5/22/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-07

S66 Uniform Combined State Law Examination

2007-09-07

Other Names

Dustin Brien Trcay

View on SEC IAPD