John Robert Sholtis

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
PA	RA	APPROVED	2023-01-04
FL	RA	APPROVED	2019-01-07
TX	RA	APPROVED_RES	2017-01-18
CT	RA	APPROVED	2007-06-15

PA RA
APPROVED

Since 2023-01-04
FL RA
APPROVED

Since 2019-01-07
TX RA
APPROVED_RES

Since 2017-01-18
CT RA
APPROVED

Since 2007-06-15

Branch Locations

Winter Garden, FL • United States

1 Century Tower 265 Church Street Suite 1102, New Haven, CT 06510 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial S. - Wilmington	New London	CT	04/2008	Present

04/2008 → Present

Ubs Financial S. - Wilmington

New London, CT

Previous Registrations

2005-06-23 → 2007-06-21

Banc Of America Investment Services, Inc.

New Haven, CT

New Haven, CT

New Haven, CT

New Haven, CT

New Haven, CT

Other Businesses

PIMCO-UBS FA Advisory Council / 650 Newport Center Drive Newport Beach,CA 92660 / PIMCO-UBS FA Advisory Council/ 36 NBI / 42853 / Wealth Management Americas / N17938 / WMA Client Advisory Group / Start Date 04/28/2017/ End Date 04/28/2019/ to bring a voice of advisors to a broader audience at PIMCO 0HG0 / Americas

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-06-21
S63	Uniform Securities Agent State Law Examination	1986-07-29

S66 Uniform Combined State Law Examination

2005-06-21
S63 Uniform Securities Agent State Law Examination

1986-07-29

Other Names

John Robert Jr Sholtis

View on SEC IAPD