Jeffrey Hans

UBS ASSET MANAGEMENT (US)

New York, NY 10019

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CRD#: 4032912

Professional summary

Jeffrey Hans, who also goes by Jeffrey Scott Hans, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey Scott Hans

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Hans's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 17, 2020 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 7th Avenue, New York, NY 10019

CRD#: 583

New York, NY

Past

July 23, 2020 - October 30, 2025

UBS ASSET MANAGEMENT (AMERICAS) LLC

RIA

CRD#: 106838

New York, NY

Past

April 24, 2012 - July 17, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

March 29, 2012 - July 17, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

January 13, 2000 - April 4, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/17/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/23/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 9/26/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 2/9/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 1/11/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/4/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583 / SEC#: , 8-21901

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1285 Avenue Of The Americas, New York, NY 10019

Mailing Address

1285 Avenue Of The Americas, New York, NY 10019

Phone number

(212) 821-3000

Established

Delaware since 05/05/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	DIRECT OWNER
BELASCO, MICHAEL SCOTT	PRESIDENT AND CEO	4649742
HORAN, KATHLEEN ELIZABETH	CHIEF FINANCIAL OFFICER - FINOP	5188874
KEMPER, MARK FREDERICK	SECRETARY AND CHIEF LEGAL COUNSEL	4347419
MULLEN, BARRY JOHN	CHIEF COMPLIANCE OFFICER	1814958

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jeffrey Hans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Hans's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS ASSET MANAGEMENT (AMERICAS) LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/2012

Series 63

Date: 10/29/2001

SIE

Date: 10/1/2018

Series 87

Date: 9/26/2005

Series 86

Date: 2/9/2005

Series 7

Date: 1/11/2000

Series 24

Date: 11/4/2015

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UBS ASSET MANAGEMENT (US) INC.

TRUST BUT VERIFY

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