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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-02-03
  • MN RA
    APPROVED
    Since 2014-02-03

Branch Locations

681 Lake Street E. Suite 354, Wayzata, MN 55391-1758 • United States

Nevis, MN • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Wayzata MN 08/2010 Present
Previous Registrations
Other Businesses

HOME DEPOT; 18011 ZANE ST NW ELK RIVER MN 55330; RETAIL SALES;CLIENT ASSOCIATE/CASHIER ;START 15-AUG-2008; 20+ NON-TRADE HRS PR MO; CASHIER 2) Notary / 8450 176th Lane NW Ramsey,MN 55303 / No/ Non Profit / USD / No / No / / Start Date 09/01/2010 /

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-08
  • S66 Uniform Combined State Law Examination
    2010-06-08
Other Names
  • Kami Lynn Shotts
  • Kami Lynn Mcdonough

View on SEC IAPD

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