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FIND A UBS ASSET MANAGEMENT (US) INC. FINANCIAL ADVISOR NEAR ME

Find, Compare and Monitor Financial Advisors at UBS ASSET MANAGEMENT (US) INC.

CRD#: 583
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

UBS ASSET MANAGEMENT (US) INC. is located at 787 7th Avenue, New York, NY 10019 and was first established at Woodbridge, Delaware in 05/05/1977. After operating for 49 years, UBS ASSET MANAGEMENT (US) INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of UBS ASSET MANAGEMENT (US) INC.’s clients are individuals and 0% of their clients are high net worth individuals. UBS ASSET MANAGEMENT (US) INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at UBS ASSET MANAGEMENT (US) INC. are registered to handle securities or provide financial advice. The firm has 10 disclosures, 10 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access UBS ASSET MANAGEMENT (US) INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at UBS ASSET MANAGEMENT (US) INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for UBS ASSET MANAGEMENT (US) INC. Comes From

Understanding the Statistics for UBS ASSET MANAGEMENT (US) INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
10

FIRM INFORMATION

Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue, New York, NY 10019
Firm Size
Medium
Phone Number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at UBS ASSET MANAGEMENT (US) INC.

LS

Lisa Mari Snyderman

IAR
RR
CRD#: 1056330
Location:
Westport, CT 06880
Company:
CRITO CAPITAL ADVISERS LLC
Disclosures:
Experience:
43 years
View Profile
CS

Christopher John Setten

Chris Setten
IAR
RR
CRD#: 1751872
Location:
Ridgewood, NJ
Company:
UBS FINANCIAL SERVICES INC.
Disclosures:
Experience:
29 years
View Profile
CD

Cathy Anne Desjardins

Cathy Desjardins, Cathy Des Jardins, Cathy Des Jardins Suomela, Cathy Desjardins Suomela, Cathy Suomela
IAR
RR
CRD#: 1591293
CIMA®: Certified Investment Management Analyst
Location:
Denver, CO 80202
Company:
UBS ASSET MANAGEMENT (AMERICAS) LLC
Disclosures:
Experience:
38 years
View Profile
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