Marc Craig Portnoy

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
NY	RA	APPROVED	2024-09-13
TX	RA	APPROVED_RES	2020-04-13
NJ	RA	APPROVED	2002-06-05

NY RA
APPROVED

Since 2024-09-13
TX RA
APPROVED_RES

Since 2020-04-13
NJ RA
APPROVED

Since 2002-06-05

Branch Locations

100 Overlook Center Suite 303, Princeton, NJ 08540 • United States

100 Overlook Center Suite 400, Princeton, NJ 08540 • United States

Ewing, NJ • 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.	Princeton	NJ	01/1995	Present

01/1995 → Present

Ubs Financial Services Inc.

Princeton, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-01-25
S63	Uniform Securities Agent State Law Examination	1981-11-05

S65 Uniform Investment Adviser Law Examination

1994-01-25
S63 Uniform Securities Agent State Law Examination

1981-11-05

View on SEC IAPD