Joseph Wiesenfeld

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
NY	RA	APPROVED	2021-10-26

NY RA
APPROVED

Since 2021-10-26

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

Airmont, NY • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Painewebber Services Inc.	New York	NY	09/1986	Present
Ubs Securities Llc	New York	NY	09/1986	Present

09/1986 → Present

Ubs Painewebber Services Inc.

New York, NY
09/1986 → Present

Ubs Securities Llc

New York, NY

Other Businesses

TRI STATE PACKERS, LLC / 2410 IORIO CT UNION,NJ 07083 / OTHER/ FOOD, BEVERAGES & TOBACCO / DRY FOOD PACKAGING / PARTNER / / START DATE 8/1/2014