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Brian C. Cates

Ubs Financial Services Inc.

Denver, CO

Centennial, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2008-11-07
TX RA APPROVED 2008-11-07
  • CO RA
    APPROVED
    Since 2008-11-07
  • TX RA
    APPROVED
    Since 2008-11-07

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States

Centennial, CO • 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 Littleton CO 07/2013 Present
Previous Registrations
  • 2007-04-02 → 2008-11-12
    Morgan Stanley & Co. Llc
    Centennial, CO
  • 1999-01-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Centennial, CO
    Centennial, CO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-12-15
  • S63 Uniform Securities Agent State Law Examination
    1988-12-15
Other Names
  • Brian Carroll Cates

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
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