David Frances Prevo

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	2006-11-08
OH	RA	APPROVED	2006-10-10

TX RA
APPROVED_RES

Since 2006-11-08
OH RA
APPROVED

Since 2006-10-10

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • 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	Centerville	OH	10/2006	Present

10/2006 → Present

Ubs Financial Services Inc

Centerville, OH

Previous Registrations

2000-08-17 → 2006-10-16

Citigroup Global Markets Inc.

Centerville, OH

Centerville, OH

Other Businesses

Birdies for Beckett /United States / Centerville OH, United States / Charitable Foundation Fund raising for Congential Diaphramic Hernia (CDH) awareness / Active / treasurer / 6 / Start Date 5/30/2019 Other No / No

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-08-27
S63	Uniform Securities Agent State Law Examination	1982-09-07

S65 Uniform Investment Adviser Law Examination

1992-08-27
S63 Uniform Securities Agent State Law Examination

1982-09-07

Other Names

David Frances Preyo
David Francis Prevo

View on SEC IAPD