Best Investors Account Sign in

Peter Starr Humphrey

Ubs Financial Services Inc.

New London, CT

Jupiter, FL

Stonington, CT

CRD 253090

Claim This Profile
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 2016-03-14
FL RA APPROVED 2012-02-22
CT RA APPROVED 1991-09-09
  • TX RA
    APPROVED_RES
    Since 2016-03-14
  • FL RA
    APPROVED
    Since 2012-02-22
  • CT RA
    APPROVED
    Since 1991-09-09

Branch Locations

2 Union Plaza, New London, CT 06320 • United States

Jupiter, FL • United States

Stonington, 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 Financial Services Inc. New London CT 11/1985 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-11-04
S63 Uniform Securities Agent State Law Examination 1981-12-22
  • S65 Uniform Investment Adviser Law Examination
    1991-11-04
  • S63 Uniform Securities Agent State Law Examination
    1981-12-22

View on SEC IAPD

More in New London, CT

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor