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Brian Douglas Schroeder

Ubs Financial Services Inc.

Phoenix, AZ

Weehawken, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2010-09-27
  • CO RA
    APPROVED
    Since 2010-09-27

Branch Locations

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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 Denver CO 03/2008 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-07
S63 Uniform Securities Agent State Law Examination 1999-09-22
  • S65 Uniform Investment Adviser Law Examination
    2007-03-07
  • S63 Uniform Securities Agent State Law Examination
    1999-09-22

View on SEC IAPD

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