David Nicholas Spiegel

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	2006-09-28
CA	RA	APPROVED	1997-07-08

TX RA
APPROVED_RES

Since 2006-09-28
CA RA
APPROVED

Since 1997-07-08

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States

San Marinoi, CA • 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 Inc.	Los Angeles	CA	10/1973	Present

10/1973 → Present

Ubs Financial Services Inc.

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-16
S63	Uniform Securities Agent State Law Examination	1979-08-27

S65 Uniform Investment Adviser Law Examination

1995-03-16
S63 Uniform Securities Agent State Law Examination

1979-08-27

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Nearby Firms

Nearby Investors

Nearby Offices

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