Marcia Rumi Sato

Ubs Financial Services Inc.

CRD 3162900

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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

Authority	Category	Status	Date
FL	RA	APPROVED	2023-12-08
NJ	RA	APPROVED	2023-11-08
CT	RA	APPROVED	2023-11-07
NY	RA	APPROVED	2023-02-24

FL RA
APPROVED

Since 2023-12-08
NJ RA
APPROVED

Since 2023-11-08
CT RA
APPROVED

Since 2023-11-07
NY RA
APPROVED

Since 2023-02-24

Branch Locations

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States

New York, NY • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	New York	NY	08/2022	Present
Ubs Ag	London		07/2006	08/2022

08/2022 → Present

Ubs Financial Services Inc.

New York, NY
07/2006 → 08/2022

Ubs Ag

London

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-02-13

S66 Uniform Combined State Law Examination

2023-02-13

Other Names

Rumi Sato

View on SEC IAPD

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