Kimberly Ann Byrne

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2021-10-11

CO RA
APPROVED

Since 2021-10-11

Branch Locations

Littleton, CO • United States

205 Detroit Street 5Th Floor, Denver, CO 80206 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Denver	CO	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Denver	CO	11/2016	Present
Ubs Financial Services Inc	Denver	CO	09/2021	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Denver, CO
11/2016 → Present

Wells Fargo Clearing Services, Llc

Denver, CO
09/2021 → Present

Ubs Financial Services Inc

Denver, CO

Previous Registrations

2011-01-03 → 2021-09-08

Wells Fargo Clearing Services, Llc

Denver, CO

Denver, CO
1999-01-01 → 2011-01-03

Wells Fargo Investments, Llc

Denver, CO

Denver, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-26
S63	Uniform Securities Agent State Law Examination	1987-12-11

S65 Uniform Investment Adviser Law Examination

1999-11-26
S63 Uniform Securities Agent State Law Examination

1987-12-11

Other Names

Kimberly Ann Scott
Kimberly Scott Perry
Kimberly Ann Scott
Kim Scott
Kimberly A Scott

View on SEC IAPD