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Alexis Emilie Mungioli

Ubs Financial Services Inc.

Dallas, TX

CRD 7573563

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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 2023-01-01
  • TX RA
    APPROVED
    Since 2023-01-01

Branch Locations

100 Crescent Court Suite 400, Dallas, TX 75201 • 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
Waterview Investment Banking, Inc. Dallas TX 06/2021 08/2021
Venture Commercial Management, Llc Dallas TX 05/2021 06/2021
Ubs Financial Services Inc Dallas TX 06/2022 Present
Southern Methodist University Dallas TX 08/2018 05/2022
Ymca Gradford TX 06/2018 07/2018
Highland Park High School Dallas TX 08/2014 05/2018
  • 06/2021 → 08/2021
    Waterview Investment Banking, Inc.
    Dallas, TX
  • 05/2021 → 06/2021
    Venture Commercial Management, Llc
    Dallas, TX
  • 06/2022 → Present
    Ubs Financial Services Inc
    Dallas, TX
  • 08/2018 → 05/2022
    Southern Methodist University
    Dallas, TX
  • 06/2018 → 07/2018
    Ymca
    Gradford, TX
  • 08/2014 → 05/2018
    Highland Park High School
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-31
  • S66 Uniform Combined State Law Examination
    2022-12-31

View on SEC IAPD

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