Bruce Edward Pratt

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
MD	RA	APPROVED	2022-09-02
FL	RA	APPROVED	2014-04-24
OK	RA	APPROVED	2005-01-13
TX	RA	APPROVED	1987-11-16

MD RA
APPROVED

Since 2022-09-02
FL RA
APPROVED

Since 2014-04-24
OK RA
APPROVED

Since 2005-01-13
TX RA
APPROVED

Since 1987-11-16

Branch Locations

7250 Dallas Parkway Suite120, Plano, TX 75024 • United States

West Palm Beach, FL • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Addison	TX	10/1987	Present

10/1987 → Present

Ubs Financial Services Inc.

Addison, TX

Other Businesses

Jewel Source/ Category -LLC/ Principal Business Activity - Jewelry sourcing and design/ Role - Governing person/ Duty -No active role/ Compensation -No

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-03-01
S63	Uniform Securities Agent State Law Examination	1979-11-05

S65 Uniform Investment Adviser Law Examination

1993-03-01
S63 Uniform Securities Agent State Law Examination

1979-11-05

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

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