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Douglas Edward Kottke

Ubs Financial Services Inc.

Wayzata, MN

St Paul, MN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED 2005-11-04
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED
    Since 2005-11-04

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • United States

444 Cedar St, St Paul, MN 55101-2108 • 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 Wayzata MN 11/2005 Present
  • 11/2005 → Present
    Ubs Financial Services
    Wayzata, MN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-07-06
S63 Uniform Securities Agent State Law Examination 1998-07-09
  • S65 Uniform Investment Adviser Law Examination
    1999-07-06
  • S63 Uniform Securities Agent State Law Examination
    1998-07-09
Other Names
  • Douglas Kottke

View on SEC IAPD

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GARDA CAPITAL PARTNERS · WAYZATA, MN
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