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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
MN RA APPROVED 2014-02-03
  • MN RA
    APPROVED
    Since 2014-02-03

Branch Locations

80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States

Richfield, MN • 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
Piper Jaffray Inc. Minneapolis MN 08/1981 Present
Ubs Financial Services Inc. Minneapolis MN 08/2006 Present
Other Businesses

CROCHETING PURSES FOR SCHOOL/CHURCH BOUTIQUES - 20 HOURS PER MONTH -POSSIBLE FUNDS OVER COST AT SOME POINT./Holy Emmanuel Lutheran Church / 201 E 104th Street Bloomington,MN 55420 / Other/ Other Religious / Youth and Children's Ministry Board / Member of a committee with management or supervisory functions / / We keep track that the Director of Children's Education does not exceed her allotted working hours / Start Date 3/1/2016/Church /

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-07-19
  • S63 Uniform Securities Agent State Law Examination
    1983-07-19
Other Names
  • Sandra Lee Michalik

View on SEC IAPD

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