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Samantha Katherine Hodges

Ubs Financial Services Inc.

Irvine, CA

Newport Beach, CA

CRD 6800233

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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 2021-01-28
NJ RA APPROVED 2018-11-30
  • CA RA
    APPROVED
    Since 2021-01-28
  • NJ RA
    APPROVED
    Since 2018-11-30

Branch Locations

Irvine, CA • United States

888 San Clemente Drive Suite 300, Newport Beach, CA 92660 • 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
Wagner College Staten Island NY 08/2014 05/2018
Ubs Financial Services Inc. New York NY 06/2018 Present
Other Businesses

1)1st Phorm /2091 Fenton Logistics Blvd / Fenton/ Missouri 63026/ United States/ 1stPhorm is a manufacturer and retailer of supplements/,https://1stphorm.com/pages/about-us/I am a 1stPhorm Legionaire aka sales representative/ Start Date 10/26/2020 2)Haute Swimwear/ investment related?: no/ Virginia Beach,Virginia,23471/I will be a product ambassador for the company. I will utilize my personal social media to promote the products and will earn commission when people shop through my personal link./I will be a product ambassador for the company. I will utilize my personal social media to promote the products and will earn commission when people shop through my personal link./start date: 3/10/2021 3) The Hydrojug/investment related?: no/ 1017 West 600 North Ste 1, Ogden,Utah,84404/i will be a social media ambassador for the products/I will be a product ambassador. By sharing and speaking about the product on my personal social medias. I then will earn commission when people shop the product through my personal link/ start date 3/10/2021

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-30
  • S66 Uniform Combined State Law Examination
    2018-11-30

View on SEC IAPD

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