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Egzon Dauti

Ubs Financial Services Inc.

New Haven, CT

CRD 6781039

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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
CT RA APPROVED 2025-10-09
  • CT RA
    APPROVED
    Since 2025-10-09

Branch Locations

1 Century Tower 265 Church Street Suite 1102, New Haven, CT 06510 • 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
Key Bank New Haven CT 11/2015 03/2017
Citizens Securities, Inc Middletown CT 04/2017 11/2017
Key Bank Hartford CT 11/2017 07/2025
Ubs Financial Services Inc New Haven CT 07/2025 Present
  • 11/2015 → 03/2017
    Key Bank
    New Haven, CT
  • 04/2017 → 11/2017
    Citizens Securities, Inc
    Middletown, CT
  • 11/2017 → 07/2025
    Key Bank
    Hartford, CT
  • 07/2025 → Present
    Ubs Financial Services Inc
    New Haven, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-09
S63 Uniform Securities Agent State Law Examination 2017-06-13
  • S66 Uniform Combined State Law Examination
    2025-10-09
  • S63 Uniform Securities Agent State Law Examination
    2017-06-13

View on SEC IAPD

Nearby Firms

KREITLER FINANCIAL LLC
STRATEGIC ADVISERS LLC
WASHINGTON TRUST ADVISORS

Nearby Investors

CHARLES FRANCIS KREITLER
DWAYNE MICHAEL TYRIL
JACOB WILLIAM NESS

Nearby Offices

KREITLER FINANCIAL LLC · NEW HAVEN, CT
STRATEGIC ADVISERS LLC · NEW HAVEN, CT
WASHINGTON TRUST ADVISORS · NEW HAVEN, CT

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