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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 2019-03-12
TN RA APPROVED 2012-12-06
  • TX RA
    APPROVED_RES
    Since 2019-03-12
  • TN RA
    APPROVED
    Since 2012-12-06

Branch Locations

6070 Poplar Avenue Suite 400, Memphis, TN 38119 • 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. Memphis TN 12/2012 Present
Previous Registrations
  • 2010-07-19 → 2012-12-17
    Truist Investment Services, Inc.
    Memphis, TN
    Memphis, TN
Other Businesses

1) Name of Business-Madonna Circle / Address- 2300 Hickory Crest Drive, Memphis, TN / Investment Related- NO / Nature-Fellowship of Catholic Women Serving the Memphis Community since 1936, Service organization in the greater Memphis community. Madonna Circle, organized in 1936, is a Catholic women's organization providing assistance to the community through volunteerism and fundraising. Our volunteerism main areas are focused on helping less advantaged children, adults in need, and community outreach in support of homelessness and food scarcity. Our fundraising has two parts: One charitable or non-profit group is selected to be Major Grant Recipient who is supported financially through our major fundraising effort, the ANNUAL SWEEPSTAKES. Additionally we raise funds for our community grant fund, the Blessings Fund, to meet urgent and unpredicted needs within the Memphis area. Our fundraising efforts have provided millions of dollars to our Memphis community. / Role- Member of Board of directors / Duty-Co-Chair of the Blessings Fund Committee. / Start Date-3/11/2024 / Time Required- No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-16
S63 Uniform Securities Agent State Law Examination 2006-06-30
  • S65 Uniform Investment Adviser Law Examination
    2010-07-16
  • S63 Uniform Securities Agent State Law Examination
    2006-06-30
Other Names
  • Keri Kristen Ticer
  • Keri Gage
  • Keri Ticer Gage
  • Keri Cage

View on SEC IAPD

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