Leif Van Saun Springer

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-10-07
DC	RA	APPROVED	2018-01-16

TX RA
APPROVED_RES

Since 2019-10-07
DC RA
APPROVED

Since 2018-01-16

Branch Locations

1700 M Street Nm 5Th Floor, Washington, DC 20036 • 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

Organization	City	State	From	To
Transamerica Retirement Solutions	Silver Spring	MD	06/2016	01/2018
Transamerica Investors Securities Corporation	Silver Spring	MD	10/2016	01/2017
Transamerica Capital, Inc.	Denver	CO	01/2017	01/2018
Ubs Financial Services	Washington	DC	01/2018	Present

06/2016 → 01/2018

Transamerica Retirement Solutions

Silver Spring, MD
10/2016 → 01/2017

Transamerica Investors Securities Corporation

Silver Spring, MD
01/2017 → 01/2018

Transamerica Capital, Inc.

Denver, CO
01/2018 → Present

Ubs Financial Services

Washington, DC

Previous Registrations

2012-12-13 → 2016-06-23

Manulife Investment Management (Us) Llc

Boston, MA

Boston, MA
2006-04-12 → 2010-12-31

John Hancock Investment Management Llc

Boston, MA
2008-02-26 → 2009-02-12

Manulife Investment Management (Us) Llc

Boston, MA
2005-05-04 → 2006-04-05

Bny Mellon Securities Corporation

New York, NY
2004-03-22 → 2005-02-10

Chase Investment Services Corp.

New York, NY
2003-01-09 → 2004-03-26

Morgan Stanley Dw Inc.

Lawrencevill, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-01-07

S66 Uniform Combined State Law Examination

2003-01-07

Other Names

Leif Springer
Leif V. Springer
Leif V Springer

View on SEC IAPD

Other Firms

BRYSPEN, INCORPORATED

3WIRE INVESTMENT

LPL FINANCIAL LLC

ORIDIAN CAPITAL MANAGEMENT, L.P.

C5 CAPITAL USA LLC

DOMINION FINANCIAL CONSULTANTS, LLC

A.G.P. / ALLIANCE GLOBAL PARTNERS

Other Investors

LEAH SAWYER BRYAN

GARY ANDREW EDMONDS

JAMES DARRELL ZACK

HSIAO-CHUAN CHANG

AMANDA JEAN ZACK

CHRISTINE RUSHIN MISTR

CHARLES DOUGLAS HARTLEY

Marilyn McKinnon

Other Offices

BRYSPEN, INCORPORATED · WASHINGTON, DC

3WIRE INVESTMENT · WASHINGTON, DC

LPL FINANCIAL LLC · WASHINGTON, DC

ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC

C5 CAPITAL USA LLC · WASHINGTON, DC

AEB CAPITAL · WASHINGTON, DC

DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC

A.G.P. / ALLIANCE GLOBAL PARTNERS · Washington, DC

More in Washington, DC

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