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Heather Renee Mardis

Ubs Financial Services Inc.

Cincinnati, OH

Covington, KY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2026-08-03
OH RA APPROVED 2008-06-18
  • KY RA
    APPROVED
    Since 2026-08-03
  • OH RA
    APPROVED
    Since 2008-06-18

Branch Locations

312 Walnut Street Suite 3300, Cincinnati, OH 45202 • United States

Covington, KY • 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 Cincinnati OH 05/2008 Present
Previous Registrations
Other Businesses

KOHL'S / DEPARTMENT STORE/DISTRIBUTION CENTER/ 7855 COUNTY ROAD 140 FINDLAY, OH 45840 / WAREHOUSE PERSONNEL/ START DATE 8/12/2013.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-22
S63 Uniform Securities Agent State Law Examination 2002-02-01
  • S66 Uniform Combined State Law Examination
    2004-12-22
  • S63 Uniform Securities Agent State Law Examination
    2002-02-01
Other Names
  • Heather Renee Dethlefs
  • Heather Renee Wells

View on SEC IAPD

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QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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