Raya Ann Farooque
Investment adviser representative at UBS Financial Services Inc.
11 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- UBS Financial Services Inc.Jan 2026 to now
- University of North FloridaAug 2025 to Dec 2025
- VanguardMay 2025 to Aug 2025
- University of North FloridaJan 2025 to May 2025
- AeropostaleOct 2022 to Feb 2023
- JPMorgan & ChaseJan 2022 to Jan 2025
- JPMorgan & ChaseJul 2021 to Dec 2021
- AeropostaleMar 2021 to Dec 2021
- Craft Behavioral HealthJul 2017 to Nov 2021
- UnemployedJan 2015 to Jul 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2025
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 1 state (NY).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 8067288
- Firm CRD
- 8174