Best Investors Account Sign in

Nick C Paterakos

Ubs Financial Services Inc.

Chicago, IL

Wilmette, IL

CRD 1057767

Claim This Profile
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
TX RA APPROVED_RES 2010-04-05
IL RA APPROVED 2000-11-17
  • TX RA
    APPROVED_RES
    Since 2010-04-05
  • IL RA
    APPROVED
    Since 2000-11-17

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States

Wilmette, IL • 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. Chicago IL 11/2000 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-19
S63 Uniform Securities Agent State Law Examination 1983-06-14
  • S65 Uniform Investment Adviser Law Examination
    1999-04-19
  • S63 Uniform Securities Agent State Law Examination
    1983-06-14
Other Names
  • Nick Chris Paterakos

View on SEC IAPD

Nearby Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Nearby Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

More in Chicago, IL

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor