Best Investors Account Sign in

Gerald John Norris

Ubs Financial Services Inc.

Birmingham, MI

Ft. Myers, FL

CRD 1091337

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
MI RA APPROVED 2010-09-16
FL RA APPROVED 2010-03-30
TX RA APPROVED_RES 2008-03-31
  • MI RA
    APPROVED
    Since 2010-09-16
  • FL RA
    APPROVED
    Since 2010-03-30
  • TX RA
    APPROVED_RES
    Since 2008-03-31

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Ft. Myers, 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. Birmingham MI 01/1989 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-03
S63 Uniform Securities Agent State Law Examination 1983-02-01
  • S65 Uniform Investment Adviser Law Examination
    1997-02-03
  • S63 Uniform Securities Agent State Law Examination
    1983-02-01

View on SEC IAPD

More in Birmingham, MI

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor