Roshan Ghaznavi

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

• 05/2008 → 09/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Woodland Hills, CA
• 08/2009 → 09/2022
  Bank Of America, N.A.
  Woodlands Hills, CA
• 09/2022 → Present
  Ubs
  Sherman Oaks, CA

Previous Registrations

• 2008-05-02 → 2022-09-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Encino, CA
  Woodland Hills, CA
  Woodland Hills, CA
• 2007-05-29 → 2008-05-22
  Citigroup Global Markets Inc.
  Los Angeles, CA
  Woodland Hills, CA
• 2004-03-09 → 2007-05-29
  Citicorp Investment Services
  Woodland Hills, CA
  Woodland Hills, CA

Other Businesses

FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: HAYVENHURST PROPERTY ADDRESS OF BUSINESS: LAKE BALBOA, CA 91306 NATURE OF BUSINESS: REO START DATE OF RELATIONSHIP: 10/07/2011 NUMBER OF HOURS DEVOTED PER MONTH: 2 QUARTERLY 2) Name of Business: ryg capital./ Address; 18628 tarzana dr tarzana caUnited States 91356./Investment Related: Yes./Nature: Real Estate./ Role: Partner./ Duty: purchase/sell real estate./Start Date: 9/11/2023./ Time Required: No. 3) 458 Roxbuty LLC, Real estate, Partner, Real estate oened, start date-9/18/2023, tarzana ca United States-91356. 4) 6531 Hayvenhurst, Inv Property, OwnerProperty Mgr handling property, strt date-12/28/2020, van nuysca United States-91304. 5)22357 pacific coast hwy LLC,caUnited States,LLCReal Estate,purchase real estate,Active,Partner,I will be a member in the LLC, Start date -10/26/2023

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-03-08
• S63 Uniform Securities Agent State Law Examination
  1999-07-23