Nick James Polydoros

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2011 → Present
  Ubs Financial Services Inc
  Scottsdale, AZ

Previous Registrations

• 1998-08-03 → 2011-12-22
  Rbc Capital Markets, Llc
  Peoria, AZ
  Peoria, AZ

Other Businesses

1. Li'lbito'sunshine 2019Race Horse, Proprietor / owner, Pay bills, collect income, Discuss upkeep with others, start date-10/4/2019, ScottsdaleAZ United States85266. 2. Cam's Cousin 2017, Race horse or breeding stock, Proprietor / owner, Pay bills for outside care, start date-3/1/2017, ScottsdaleAZ United States85266 3. Li'lbito'Sunshine 2016Thoroughbred race horse, Proprietor / owner, Pay bills monthly, occasional conversations with horses caretaker, start date-6/1/2016, Scottsdale AZ United States-85266 4) PAM'S PAMPERED PETS / SCOTTSDALE AZ 85266 / SOLE PROPRIETORSHIP / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT / PET SITTING / OTHER NAMED ON JOINT ACCOUNT / NONE / START DATE 01/01/1997. /// 5) Hockey Referee / Sole proprietorship / Referee hockey games / Other / Ref hockey games

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-11-17
• S63 Uniform Securities Agent State Law Examination
  1983-05-24