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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
CA RA APPROVED 1997-07-08
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States

555 California Street Suite 3200, San Francisco, CA 94104 • 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. San Francisco CA 01/1995 Present
Other Businesses

cercle de l,union 414 mason st san francisco 94102 / 414 Mason Street San Francisco,CA 94102 / Other/ Other Culinary Arts / club / Member of Board of Directors / / director / Start Date 1/1/1990/Culinary Arts / 1/THE SUMMIT / 999 GREEN STREET NO. 1105 SAN FRANCISCO,CA 94133 / Other/ Other HOMEOWNERS' ASSOCIATION / HOMEOWNERS' ASSOCIATION / Member of a committee with management or supervisory functions / / TREASURER OF THE HOA / Start Date 9/2/2013/NON-PROFIT HOA /

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-06-14
  • S63 Uniform Securities Agent State Law Examination
    1988-06-14
Other Names
  • John Joslin Gardiner

View on SEC IAPD

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