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Juliana Barcellos Herrmann

Ubs Financial Services Inc.

New York, NY

CRD 5174620

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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
NJ RA APPROVED 2026-08-31
CT RA APPROVED 2026-08-28
NY RA APPROVED 2026-08-28
  • NJ RA
    APPROVED
    Since 2026-08-31
  • CT RA
    APPROVED
    Since 2026-08-28
  • NY RA
    APPROVED
    Since 2026-08-28

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • 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
J.P. Morgan Securities Llc New York NY 10/2003 09/2023
Jpmorgan Chase Bank, N.A. New York NY 09/2023 05/2026
Ubs Financial Services Inc. New York NY 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-07-09
S63 Uniform Securities Agent State Law Examination 2007-01-29
  • S65 Uniform Investment Adviser Law Examination
    2025-07-09
  • S63 Uniform Securities Agent State Law Examination
    2007-01-29
Other Names
  • Juliana Barcellos Herrmann
  • Juliana Herrmann
  • Juliana Barcellos Herrmann

View on SEC IAPD

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