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Todd Alan Schroeder

Ubs Financial Services Inc.

Lake Oswego, OR

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-04-21
  • TX RA
    APPROVED_RES
    Since 2011-04-21

Branch Locations

5300 Meadows Rd Suite 300, Lake Oswego, OR 97035-3229 • 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 Lake Oswego OR 11/2008 Present
Previous Registrations
Other Businesses

SPKH LLC;INVESTMENT RELATED;2415 NE 27TH AVE. PORTLAND OR 97212;INVESTMENT LLC;TEAM MEMBER;START 15-AUG-2007;0-20 NON-TRADE HRS PR MO.;TEAM MEMBER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-01
S63 Uniform Securities Agent State Law Examination 1997-11-21
  • S65 Uniform Investment Adviser Law Examination
    1997-12-01
  • S63 Uniform Securities Agent State Law Examination
    1997-11-21

View on SEC IAPD

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