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Shawn Joseph Barth

UBS Financial Services Inc.

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About Shawn Joseph Barth

Shawn Barth is a registered representative with UBS Financial Services Inc. Shawn is a registered representative with the state of Tennessee. Shawn has been in the industry since 2004 and has a strong history of working with individuals, families, businesses, and retirement plans. Shawn has been with UBS since 2016. Shawn holds the Series 66, 7 and SIE licenses. In addition to being a registered representative, Shawn is also an investment advisor representative. Shawn's current office is located at 315 Deaderick Street, Nashville, Tennessee.

Firm Information

Shawn Barth is currently registered with UBS Financial Services Inc.. UBS Financial Services Inc. is a corporation formed on June 30, 1969, headquartered in Weehawken, NJ. With over $50 billion in assets under management, the firm provides a range of advisory services, including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals. The firm has over 6,000 licensed agents, 9,000 investment advisor representatives, and 11,000 registered representatives, serving a diverse clientele including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. UBS Financial Services Inc. is registered with the SEC and in all 50 states and Puerto Rico.
UBS Financial Services Inc.

1200 HARBOR BOULEVARD

WEEHAWKEN, NJ 07086

$702.39B

Assets Under Management

21,125

Total Clients

10,299

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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Shawn Barth’s Registration & Firm History

TN

11/02/2016 - Present

UBS Financial Services Inc. (Nashville TN)

TN

11/12/2014 - 03/21/2016

CURIAN CLEARING, LLC (FRANKLIN TN)

WI

01/20/2010 - 10/23/2014

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

07/06/2005 - 10/20/2009

CHASE INVESTMENT SERVICES CORP. (MILWAUKEE WI)

IL

11/15/2004 - 07/06/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

NY

05/07/2003 - 10/11/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/05/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/05/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Shawn Joseph Barth. Review regulatory record here.
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