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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2010-11-15
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2010-11-15

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • United States

Corcoran, MN • 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
Paine Webber Wayzata MN 05/1996 Present
Ubs Financial Services Inc. Wayzata MN 05/1996 Present
Other Businesses

1)Elm Creek Watershed management comission / Corcoran United States,Minnesota http://elmcreekwatershed.org/pages/Meetings/ / No/ Ken mayor of Corcoran MN ensure water quality is good / No / Elected or appointed position with any government body, including executive, legislative, judicial or quasi-judicial / / unknown / Start Date 3/11/15-2/7/18 2) 390 Robert Street North / MN/metrocouncil.org/council-meetings/committees/land-use-advisory-committee/ Governmental Entity / RepSvrLobInit/ Start Date 4/24/2019 3) Loretto Fire Department / 259 North Medina St Loretto, 55357 / United States / Other / Public Services / It is a fire department / Other / Volunteer medic / I will respond for the department to medical emergencies / Lorreto Fire department / Start Date 10/1/2019 / 4)Kathleen Joseph llc/Company/ Principal Business Activity-The land receives rental income/ Role - Executive director/Duty - i will manage it in its entirety/Compensation - No, start date-11/4/2020. 5) trail groomers inc, we build trail groomers and sell them, Proprietor / owner, manufacturing and sales, start date-1/13/2021, corcoran United States-55374. 6) Condo Rental, We own a vacation property we occasionally rent, Proprietor / owner, I will agree to let a rental agency rent my condo, start date-12/15/2022, corcoranUnited States-55374. 7) North Memorial Health Ambulance Service, With over 60 years of experience, we serve eight ambulance regions across Minnesota and western Wisconsin, ranging from urban to remote rural communities. We employ more than 800 EMTs, paramedics, nurses, and support staff who transport, on average, 85,000 customers each year, Emergency Medical Technician, I will help people in medical distress, start date-2/20/2023, minnesotaUnited States-55429.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-02
S63 Uniform Securities Agent State Law Examination 1997-08-12
  • S65 Uniform Investment Adviser Law Examination
    1998-04-02
  • S63 Uniform Securities Agent State Law Examination
    1997-08-12

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