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Eileen Dofredo

Ubs Financial Services Inc.

San Francisco, CA

San Ramon, CA

CRD 2094662

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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
CA RA APPROVED 2017-12-07
  • CA RA
    APPROVED
    Since 2017-12-07

Branch Locations

555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States

San Ramon, CA • 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
Morgan Stanley & Co., Incorporated San Francisco CA 08/1998 11/2017
Morgan Stanley San Francisco CA 06/2009 11/2017
Ubs Financial Services Inc. San Francisco CA 11/2017 Present
Previous Registrations
  • 2009-06-01 → 2017-11-21
    Morgan Stanley
    San Francisco, CA
  • 2007-02-26 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-16
S63 Uniform Securities Agent State Law Examination 1991-01-14
  • S66 Uniform Combined State Law Examination
    2007-05-16
  • S63 Uniform Securities Agent State Law Examination
    1991-01-14
Other Names
  • Eileen Cagonot Dofredo
  • Eileen Abella Cagonot
  • Eileen C. Dofredo

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

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