Clinton Gee

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
TX	RA	APPROVED_RES	2012-04-03
CA	RA	APPROVED	2010-06-08

TX RA
APPROVED_RES

Since 2012-04-03
CA RA
APPROVED

Since 2010-06-08

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • United States

Mission Viejo, CA • 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 Services Inc	Irvine	CA	06/2010	Present

06/2010 → Present

Ubs Financial Services Inc

Irvine, CA

Previous Registrations

2009-06-01 → 2010-06-23

Morgan Stanley

Laguna Niguel, CA
2007-05-07 → 2009-06-01

Citigroup Global Markets Inc.

Laguna Niguel, CA
2007-04-02 → 2007-05-07

Morgan Stanley & Co. Llc

Irvine, CA
1997-07-08 → 2007-04-02

Morgan Stanley Dw Inc.

Irvine, CA

Irvine, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-03-27
S63	Uniform Securities Agent State Law Examination	1987-07-13

S65 Uniform Investment Adviser Law Examination

1995-03-27
S63 Uniform Securities Agent State Law Examination

1987-07-13

View on SEC IAPD