Best Investors Account Sign in

Peter John Goglia

Ubs Financial Services Inc.

Providence, RI

Providence, RI

Greenville, RI

CRD 1229052

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 2003-04-07
RI RA APPROVED 1995-01-01
  • TX RA
    APPROVED_RES
    Since 2003-04-07
  • RI RA
    APPROVED
    Since 1995-01-01

Branch Locations

One Citizens Plaza Suite 900, Providence, RI 02903 • United States

500 Exchange Street Suite 1210, Providence, RI 02903 • United States

Greenville, RI • 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. Providence RI 01/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-03
S63 Uniform Securities Agent State Law Examination 1984-02-09
  • S65 Uniform Investment Adviser Law Examination
    1992-04-03
  • S63 Uniform Securities Agent State Law Examination
    1984-02-09

View on SEC IAPD

More in Providence, RI

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor