Aaron Michael Daugherty

UBS Financial Services INC.

18 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

UBS Financial Services INC.

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

9200 advisors

Number of Clients

1,134,581 clients

Average Client Portfolio

$713K average

Assets Under Management

$808.8B

Fee Structure

Minimum Investment:$25K

Minimum Annual Fee:$10,000

Location

5300 Meadows Rd, Suite 300, Lake Oswego, OR, 97035-3229

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business Activities

Aaron is a manager at Double Barrel Inc., operating The Alibi / Tiki bar and karaoke lounge. He is also an Intelligence Analyst for the Oregon Army National Guard, starting in April 2024.

Employment History

Current Registrations

UBS Financial Services INC.

July 2018 - Present · 7 yrs 7 mos

UBS Financial Services INC.Broker

July 2018 - Present · 7 yrs 7 mos

Previous Registrations

TD Ameritrade, INC.

May 2018 - June 2018 · 1 mo

TD Ameritrade Investment Management, LLC

February 2018 - June 2018 · 4 mos

TD Ameritrade, INC.Broker

February 2018 - June 2018 · 4 mos

Scottrade Investment Management

April 2017 - February 2018 · 10 mos

Scottrade, INC.Broker

April 2017 - February 2018 · 10 mos

E*trade Capital Management, LLC

December 2012 - October 2015 · 2 yrs 10 mos

E*trade Securities LLCBroker

December 2012 - October 2015 · 2 yrs 10 mos

Paulson Investment Company, INC.Broker

July 2012 - December 2012 · 5 mos

Advanced Equities, INC.

August 2011 - July 2012 · 11 mos

Advanced Equities, INC.Broker

August 2011 - July 2012 · 11 mos

Phillips & CompanyBroker

April 2006 - August 2011 · 5 yrs 4 mos

State Registrations4 states

CANCORWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.