Brian S. Hirsch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Stuart Hirsch, who also goes by Brian Hirsch, was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 2004. Brian had worked at 1 firm and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2004 - September 19, 2005
UBS INTERNATIONAL INC.
April 21, 2004 - September 19, 2005
UBS INTERNATIONAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS INTERNATIONAL INC.
CRD#: 107726 / SEC#: , 8-53059
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | SHAREHOLDER | |
| BELAVAL, EUGENIO S | DIRECTOR | 1267012 |
| BURRI, RUDOLF | CHIEF OPERATING OFFICER/DIRECTOR | 4208377 |
| DODD, DAVID MARTIN | DIRECTOR | 1065148 |
| FREY, WILLIAM PATRICK | CFO | 2369814 |
| GONZALEZ, RICARDO ALBERTO JR | CEO/DIRECTOR/MUNI PRINCIPAL | 1460620 |
| SCAVO, JOSEPH FRANK | AML OFFICER | 1240820 |
| SULLIVAN, KATHLEEN FRANCES | ASSOCIATE DIRECTOR/CROP/SROP | 2330070 |
| TORREGIANO, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2753068 |
| TROTTA, ELAINE MARIE | CHIEF ADMINISTRATIVE OFFICER | 1048829 |
| UBINAS TAYLOR, CARLOS VERNER | DIRECTOR & CHAIRMAN OF THE BOARD | 1985568 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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