FM
Florence Mwaura
UBS ASSET MANAGEMENT (AMERICAS) LLC
Chicago, IL 60606
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CRD#: 6252496
FM
Professional summary
Florence Mwaura is a registered financial advisor currently at UBS ASSET MANAGEMENT (AMERICAS) LLC located in Chicago, Illinois and SEI INVESTMENTS MANAGEMENT CORP located in Chicago, Illinois.
Florence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Florence has worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Name: CHANGE Global Investment, LLC Address: 416 NE Dallas Street, Suite 202, Camas, WA 98607 Nature: Investment Management Position / Title: CHANGE Global Frontier Markets LP Advisory Committee Member Start Date: February 28, 2018 Time Devoted: Zero to less than 1 hour on a monthly basis but we currently meet twice a year and the preparation and meeting time for each can be roughly 2-4 hours. Time Devoted During Securities Trading Hours: 1-2 hours during the twice a year committee meetings. Duties: Oversight of governance-only related matters such as; Entering into material contracts which shall include contracts to change or engage service providers, Executing side letters with Limited Partners, Making an in-kind distribution to one or more Limited Partners, Establishing a liquidating trust, series, entity, liquidating account or similar special purpose entity, Establishing a reserve (including any reserve with respect to a side pocket account) and Dissolving the Partnership.
CRS (Client Relationship Summary) - RIA
Click below to view Florence Mwaura's 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®
NoneExperience
Current
November 15, 2017 - Present
UBS ASSET MANAGEMENT (AMERICAS) LLC
Office #1: One North Wacker Drive, Chicago, IL 60606RIA
CRD#: 106838
Chicago, IL
Current
June 23, 2022 - Present
SEI INVESTMENTS MANAGEMENT CORP
Office #2: 351 West Hubbard Street Suite 501, Chicago, IL 60654RIA
CRD#: 105146
Chicago, IL
Current
June 23, 2022 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: 351 West Hubbard Street Suite 501, Chicago, IL 60654BD
CRD#: 10690
Chicago, IL
Past
June 25, 2015 - March 25, 2022
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC
CRD#: 106838 / SEC#: 801-34910
RIA
Registered Investment Advisory firm - (9/11/1989 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
IAR
Illinois(11/15/2017)
RR
Illinois(6/23/2022)
RR
Pennsylvania(6/23/2022)
IAR
Pennsylvania(6/24/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (AMERICAS) LLC
BRINSON PARTNERS | UBS UNIFIED GLOBAL ALTERNATIVES | UBS TIMBER INVESTORS | UBS SUSTAINABLE INVESTORS | UBS REAL ESTATE & PRIVATE MARKETS (AMERICAS) | UBS HEDGE FUND SOLUTIONS | UBS GROWTH INVESTORS | UBS GLOBAL REAL ASSETS AMERICAS | UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. | UBS GLOBAL ASSET MANAGEMENT (US)INC. | UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. | UBS CREDIT INVESTMENTS GROUP | UBS ASSET MANAGEMENT (AMERICAS) LLC | UBS ASSET MANAGEMENT (AMERICAS) INC. | UBS ASSET MANAGEMENT | UBS AM | O'CONNOR | DSI INTERNATIONAL MANAGEMENT, INC. | BRINSON PARTNERS, INC
CRD#: 106838 / SEC#: 801-34910
RIA
Registered Investment Advisory firm - (9/11/1989 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
Phone number
(212) 713-2000
Established
Firm type
Fiscal year end
# of Employees
792
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 399,225 |
| AUM (Assets Under Management) | $ 542,245,991,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 |
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.
