Kirk John Ongman

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

Authority	Category	Status	Date
NV	RA	APPROVED	2024-08-28
TX	RA	APPROVED_RES	2007-06-11
IL	RA	APPROVED	2005-11-10

NV RA
APPROVED

Since 2024-08-28
TX RA
APPROVED_RES

Since 2007-06-11
IL RA
APPROVED

Since 2005-11-10

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Svcs.	Chicago	IL	11/2005	Present

11/2005 → Present

Ubs Financial Svcs.

Chicago, IL

Previous Registrations

1997-12-28 → 2005-11-25

Citigroup Global Markets Inc.

Orland Park, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-06-03
S63	Uniform Securities Agent State Law Examination	1989-08-03

S65 Uniform Investment Adviser Law Examination

1992-06-03
S63 Uniform Securities Agent State Law Examination

1989-08-03

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Nearby Firms

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