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John Henry Cromling

Ubs Financial Services Inc.

Edmond, OK

Oklahoma City, OK

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2017-11-28
TX RA APPROVED 2017-11-28
  • OK RA
    APPROVED
    Since 2017-11-28
  • TX RA
    APPROVED
    Since 2017-11-28

Branch Locations

Edmond, OK • United States

4801 Gaillardia Pkwy Building C, Suite 100, Oklahoma City, OK 73142-1890 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Okc OK 04/1997 11/2017
Bank Of America, Na Oklahoma City OK 04/2010 11/2017
Ubs Financial Services, Inc Houston TX 11/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-02
S63 Uniform Securities Agent State Law Examination 1997-06-20
  • S65 Uniform Investment Adviser Law Examination
    1997-07-02
  • S63 Uniform Securities Agent State Law Examination
    1997-06-20
Other Names
  • John H (Vi) Cromling
  • Johnny Cromling

View on SEC IAPD

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