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Case File
efta-efta00236532DOJ Data Set 9

UBS Financial Services Inc.

Other

UBS UBS Financial Services Inc. 1000 Harbor Blvd., 3rd floor Weehawken, Ni 07086 UBS Strategic Advisor Program prow ids mai UBS Strategic Advisor Program Request for Concentrated Position Exception Amendment to Program Application & Advisory Relationship Agreement Strategic Advisor Account Title Strategic Advisor Account Number Ghislaine Maxwell Concentrated Position: N/A Concentration Level: Minimum Number of 3 Positions violation in account This amendment supplements the UBS Investment Advisory Relationship Agreement (the 'Advisory Relationship Agreement') Client Application and/or other UBS Strategic Advisor agreement you have executed to establish the accounts identified above (the 'Program Accounts) in the U85 Strategic Advisor Program (the 'Program"). UBS Strategic Advisor is intended for clients who seek to follow a diversified asset allocation with the guidance and advice of their Financial Advisor. In order to promote the use of diversified asset allocation

Date
Unknown
Source
DOJ Data Set 9
Reference
EFTA 00236532
Pages
3
Persons
1
Integrity
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