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Douglas Ronald Eaton

Ubs Financial Services Inc.

Chicago, IL

Rancho Mirage, CA

CRD 1505217

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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 2021-07-28
TX RA APPROVED_RES 2014-08-25
IL RA APPROVED 1997-09-22
  • CA RA
    APPROVED
    Since 2021-07-28
  • TX RA
    APPROVED_RES
    Since 2014-08-25
  • IL RA
    APPROVED
    Since 1997-09-22

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States

Rancho Mirage, CA • 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
Ubs Financial Services Inc. Chicago IL 03/1986 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-16
S63 Uniform Securities Agent State Law Examination 1986-06-03
  • S65 Uniform Investment Adviser Law Examination
    1998-01-16
  • S63 Uniform Securities Agent State Law Examination
    1986-06-03
Other Names
  • Douglas R Eaton

View on SEC IAPD

Nearby Firms

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Nearby Investors

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HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN

Nearby Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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