Carolin Botzenhardt

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2000 → 02/2017
  Deutsche Bank A.G.-New York
  New York, NY
• 03/2001 → 02/2017
  Deutsche Banc Alex. Brown, Inc
  New York, NY
• 05/2003 → 02/2017
  Scudder Investor Services, Inc.
  Boston, MA
• 10/2003 → 02/2017
  Deutsche Bank Securities Inc.
  New York, NY
• 02/2017 → 06/2022
  Wells Fargo Clearing Services
  San Diego, CA
• 02/2017 → 06/2022
  Wells Fargo Bank
  San Diego, CA
• 06/2022 → Present
  Ubs Financial Services Inc
  La Jolla, CA

Previous Registrations

• 2017-06-22 → 2022-06-29
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  San Diego, CA
  San Diego, CA
  Tarpon Springs, FL

Other Businesses

INSTITUTE OF CONTEMPORARY ART; INV. RELATED; SAN DIEGO,CA; FINANCE COMMITTEE MEMBER; START DATE 6/30/2017, NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DISCUSS FINANCIAL HEALTH OF THE ORGANIZATION SUCH AS MAINTAINING TRUST FUND AND MANAGING ORGANIZATIONAL FUNDS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-06-22
• S66 Uniform Combined State Law Examination
  2000-01-03

Other Names

• Carolin Manuela Botzenhardt