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Nicholas Raymond Rowan

Ubs Financial Services Inc.

St Paul, MN

Woodbury, MN

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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 2010-09-20
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2010-09-20

Branch Locations

444 Cedar St, St Paul, MN 55101-2108 • United States

Woodbury, 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
U.S.BAncorp Piper Jaffray Inc. St. Paul MN 01/2000 Present
Ubs Financial Services Inc. St Paul MN 08/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-27
S63 Uniform Securities Agent State Law Examination 1996-10-31
  • S66 Uniform Combined State Law Examination
    2005-10-27
  • S63 Uniform Securities Agent State Law Examination
    1996-10-31

View on SEC IAPD

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Other Offices

CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN
FIDUCIARY COUNSELLING INC · ST PAUL, MN
MAIRS & POWER · ST. PAUL, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT PAUL, MN
HILLTOP SECURITIES INC. · St. Paul, MN
WELLS FARGO CLEARING SERVICES, LLC · SAINT PAUL, MN
CAPTRUST · ST. PAUL, MN
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