Sonia Tyagi-Harrison, financial advisor Westlake Village CA
89 score

Sonia Tyagi-Harrison

CRD Number: 5374133
Current Firm: Ubs Financial Services Inc.

Sonia Tyagi-Harrison (CRD# 5374133) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Westlake Village, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Oxnard, CA Jun 2007 - Current 9
Household Finance Oxnard, CA Apr 2004 - Jun 2007 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2014
Contact Info for Sonia Tyagi-Harrison
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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