Sheren Nicole Tumbleson

Ubs Financial Services Inc.

CRD 3178441

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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
TX	RA	APPROVED	2006-11-06

TX RA
APPROVED

Since 2006-11-06

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

98 San Jacinto Blvd Suite 100, Austin, TX 78701 • United States

Austin, TX • 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	Austin	TX	03/2005	Present

03/2005 → Present

Ubs Financial Services

Austin, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-08-08
S63	Uniform Securities Agent State Law Examination	2002-10-07

S66 Uniform Combined State Law Examination

2006-08-08
S63 Uniform Securities Agent State Law Examination

2002-10-07

View on SEC IAPD

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