Roderick K Von Lipsey

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-02-10
IL	RA	APPROVED	2012-06-21
DC	RA	APPROVED	2007-10-18

TX RA
APPROVED_RES

Since 2026-02-10
IL RA
APPROVED

Since 2012-06-21
DC RA
APPROVED

Since 2007-10-18

Branch Locations

1700 M Street Nw 5Th Floor, Washington, DC 20036 • 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	Chicago	IL	09/2007	Present

09/2007 → Present

Ubs Financial Services Inc

Chicago, IL

Other Businesses

1) THE ASPEN INSTITUTEONE DUPONT CIRCLE, NWSUITE 700WASHINGTON, DC 20036-1133 / BOD / TRUSTEE / START DATE 9/24/2007 / 1 HOUR DURING WORK HOURS /// 2) NAME OF OTHER BUSINESS: The CNA Corporation Analysis and Research/ INVESTMENT RELATED?: No / ADDRESS: 3003 Washington Blvd,Arlington,VA 22201, US/ DUTIES:I have been elected to serve as the Board Chairman in my final term on the board for this Non-Profit, FFRDC / START DATE: 1/1/2015

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-12-01

S66 Uniform Combined State Law Examination

2000-12-01

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

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