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Neil A Conway

Ubs Financial Services Inc.

Brookfield, WI

Muskego, WI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-03
WI RA APPROVED 2019-09-05
  • TX RA
    APPROVED_RES
    Since 2020-01-03
  • WI RA
    APPROVED
    Since 2019-09-05

Branch Locations

17335 Golf Parkway Suite 525, Brookfield, WI 53045 • United States

Muskego, WI • 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
M&I Brokerage Oak Creek WI 12/2002 09/2019
M&I Insurance Services Milwaukee WI 12/2002 09/2019
M&I Trust Company Milwaukee WI 12/2002 09/2019
Bmo Harris Bank Na Milwaukee WI 07/2011 09/2019
Bmo Harris Financial Advisors, Inc. Oak Creek WI 08/2012 09/2019
Ubs Financial Services Inc. Brookfield WI 09/2019 Present
  • 12/2002 → 09/2019
    M&I Brokerage
    Oak Creek, WI
  • 12/2002 → 09/2019
    M&I Insurance Services
    Milwaukee, WI
  • 12/2002 → 09/2019
    M&I Trust Company
    Milwaukee, WI
  • 07/2011 → 09/2019
    Bmo Harris Bank Na
    Milwaukee, WI
  • 08/2012 → 09/2019
    Bmo Harris Financial Advisors, Inc.
    Oak Creek, WI
  • 09/2019 → Present
    Ubs Financial Services Inc.
    Brookfield, WI
Previous Registrations
  • 2012-08-01 → 2019-09-09
    Bmo Harris Financial Advisors, Inc.
    Oak Creek, WI
    Franklin, WI
    Milwaukee, WI
    Elm Grove, WI
    Milwaukee, WI
  • 2005-09-15 → 2012-08-01
    M&I Financial Advisors, Inc
    Oak Creek, WI
    Oak Creek, WI
    South Milwaukee, WI
  • 2010-04-29 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-17
  • S66 Uniform Combined State Law Examination
    2001-01-17
Other Names
  • Neil A Horonzy
  • Neil A Horonzy

View on SEC IAPD

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