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Susan M Shea

Ubs Financial Services Inc.

Weehawken, NJ

Naples, FL

CRD 1848612

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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
FL RA APPROVED 2017-09-07
GA RA APPROVED 2017-07-21
  • FL RA
    APPROVED
    Since 2017-09-07
  • GA RA
    APPROVED
    Since 2017-07-21

Branch Locations

1000 & 1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Naples, FL • 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. New York NY 02/2007 09/2016
Unemployed Naples FL 10/2016 06/2017
Ubs Financial Services Inc Naples FL 06/2017 Present
Previous Registrations
  • 2007-03-02 → 2016-10-12
    Ubs Financial Services Inc.
    Naples, FL
    Weehawken, NJ
    Bonita Springs, FL
    Naples, FL
    Weehawken, NJ
    Naples, FL
    Naples, FL
    Columbus, OH
    Naples, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-26
S63 Uniform Securities Agent State Law Examination 2000-05-05
S65 Uniform Investment Adviser Law Examination 1995-07-21
  • S66 Uniform Combined State Law Examination
    2007-02-26
  • S63 Uniform Securities Agent State Law Examination
    2000-05-05
  • S65 Uniform Investment Adviser Law Examination
    1995-07-21
Other Names
  • Sue Grandstaff
  • Susan Marie Grandstaff

View on SEC IAPD

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