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Dean H. Gaugler

Ubs Financial Services Inc.

Westport, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-04-24
TX RA APPROVED 2009-04-24
  • CT RA
    APPROVED
    Since 2009-04-24
  • TX RA
    APPROVED
    Since 2009-04-24

Branch Locations

8 Wright Street, Westport, CT 06880-4701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Stamford CT 04/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-16
S63 Uniform Securities Agent State Law Examination 1988-11-17
  • S65 Uniform Investment Adviser Law Examination
    1999-09-16
  • S63 Uniform Securities Agent State Law Examination
    1988-11-17
Other Names
  • Dean Homer Gaugler
  • Dean H. Gaugler
  • Dean H. H. Gaugler

View on SEC IAPD

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