Ronald Charles Charles Kemp

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2015-09-24
TX	RA	APPROVED_RES	2015-09-23

CO RA
APPROVED

Since 2015-09-24
TX RA
APPROVED_RES

Since 2015-09-23

Branch Locations

370-17Th Street, Denver, CO 80202 • United States

205 Detroit Street 5Th Floor, Denver, CO 80206 • United States

Disclosures

2 disclosure categories 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 Yes
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.	Denver	CO	09/2015	Present

09/2015 → Present

Ubs Financial Services Inc.

Denver, CO

Previous Registrations

2000-01-07 → 2015-09-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO

Denver, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-08
S63	Uniform Securities Agent State Law Examination	1997-03-25

S65 Uniform Investment Adviser Law Examination

1997-04-08
S63 Uniform Securities Agent State Law Examination

1997-03-25

Other Names

Ron Kemp
Ronald C Kemp
Ronald Charles Kemp

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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