Robert Adam Lauer

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-11-24
TN	RA	APPROVED	2025-10-16

TX RA
APPROVED

Since 2025-11-24
TN RA
APPROVED

Since 2025-10-16

Branch Locations

6100 Tower Circle Suite 100, Franklin, TN 37067 • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Crystal Lake	IL	07/2006	10/2025
Bank Of America, Na	Crystal Lake	IL	01/2010	10/2025
Ubs Financial Services Inc.	Franklin	TN	10/2025	Present

07/2006 → 10/2025

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Crystal Lake, IL
01/2010 → 10/2025

Bank Of America, Na

Crystal Lake, IL
10/2025 → Present

Ubs Financial Services Inc.

Franklin, TN

Previous Registrations

2006-07-28 → 2025-10-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Deer Park, IL

Deer Park, IL

Deer Park, IL

Franklin, TN

Nashville, TN
2001-12-17 → 2006-08-01

Morgan Stanley Dw Inc.

Chicago, IL

Northbrook, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-08-07
S63	Uniform Securities Agent State Law Examination	1999-02-26

S65 Uniform Investment Adviser Law Examination

2001-08-07
S63 Uniform Securities Agent State Law Examination

1999-02-26

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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