Nicholas Robertson, financial advisor San Francisco CA
93 score

Nicholas Robertson

CRD Number: 5909461
Current Firm: Ubs Financial Services Inc.

Nicholas Robertson (CRD# 5909461) is an Investment Advisor Representative working at Ubs Financial Services Inc. in San Francisco, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. 555 California St, Suite 3200, San Francisco, CA Apr 2017 - Current 1
Ubs Financial Services Inc. Chicago, IL Jan 2013 - Apr 2017 4
Ameriprise Financial Services,inc Minneapolis, MN Sep 2012 - Dec 2012 < 1
School Coon Rapids, MN Jan 2002 - Sep 2012 10
Ubs Financial Services Chicago, MN Mar 2011 - Jun 2011 < 1
Mavo Systems White Bear Lake, MN Jun 2010 - Aug 2010 < 1
Mavo Systems White Bear Lake, MN Jun 2009 - Aug 2009 < 1
Mavo Systems White Bear Lake, MN Jun 2008 - Aug 2008 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 2012
S66 NASAA Uniform Combined State Law Examination Jun 2013
Contact Info for Nicholas J. Robertson
Phone Number: 201-352-3000
Registered State(s):
  • CA
  • IL
By the Numbers
  • Total Assets Under Management
    391,710
    MILLIONS
  • Total Number of Accounts
    885,967
    ACCOUNTS
  • Average Account Value
    $442,127
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
93
Clean Record
This advisor has a clean track record with regulators.

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