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Allen James Dogger

Ubs Financial Services Inc.

Dallas, TX

CRD 69367

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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 1983-08-23
  • TX RA
    APPROVED
    Since 1983-08-23

Branch Locations

100 Crescent Court Suite 600, 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
Ubs Financial Services Inc. Dallas TX 01/1974 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-08-20
S63 Uniform Securities Agent State Law Examination 1979-10-23
  • S65 Uniform Investment Adviser Law Examination
    1991-08-20
  • S63 Uniform Securities Agent State Law Examination
    1979-10-23
Designations
  • Certified Financial Planner

View on SEC IAPD

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