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John Joseph Kubica

Ubs Financial Services Inc.

New York, NY

Fairfield, CT

Palm Beach Gardens, FL

CRD 1026403

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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
NY RA APPROVED 2021-10-26
FL RA APPROVED 2015-04-03
TX RA APPROVED_RES 2013-03-22
CT RA APPROVED 2009-04-29
  • NY RA
    APPROVED
    Since 2021-10-26
  • FL RA
    APPROVED
    Since 2015-04-03
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • CT RA
    APPROVED
    Since 2009-04-29

Branch Locations

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States

Fairfield, CT • United States

Palm Beach Gardens, FL • 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 York NY 11/2008 Present
Previous Registrations
  • 1986-10-28 → 2007-06-07
    A. G. Edwards & Sons, Inc.
    Southport, CT
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-06-08
  • S63 Uniform Securities Agent State Law Examination
    1987-06-08

View on SEC IAPD

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