William K Kalis Harmuth

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-01-31
CA	RA	APPROVED	2007-05-11

FL RA
APPROVED

Since 2023-01-31
CA RA
APPROVED

Since 2007-05-11

Branch Locations

Bradenton, FL • United States

8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • 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
Ubs Financial Services Inc	Andover	MA	05/2007	Present

05/2007 → Present

Ubs Financial Services Inc

Andover, MA

Previous Registrations

2001-04-19 → 2007-05-14

Wells Fargo Clearing Services, Llc

Andover, MA

Andover, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-11-21
S63	Uniform Securities Agent State Law Examination	1988-03-16

S65 Uniform Investment Adviser Law Examination

2000-11-21
S63 Uniform Securities Agent State Law Examination

1988-03-16

Other Names

William Kalis Harmuth

View on SEC IAPD