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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2005-05-31
  • OH RA
    APPROVED
    Since 2005-05-31

Branch Locations

2055 Crocker Road, Westlake, OH 44145 • 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 Financials Services Cleveland OH 05/2005 Present
  • 05/2005 → Present
    Ubs Financials Services
    Cleveland, OH
Previous Registrations
Other Businesses

1) PSYCLE / FITNESS STUDIO / 24945 DETROIT AVE WESTLAKE, OH 44145 / FITNESS INSTRUCTOR / START DATE 06/17/2012 / 6 HRS. /// 2) Name of Business: St. Joseph Academy./ Address: 3470 Rocky River Dr Cleveland OH United States 44111./ Investment Related: No./ nature: Asked to join their investment committee./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: Asked to join Invesment Committee. Help with Fiduciary duty./ Start Date: 5/1/2023./ Hours Devoted: No. /// 3) Principal Financial Group; Des Moines, IA 50392; Principal Financial - Financial Advisory Council; Financial (Consumer & Investment Services); The financial advisory group provides financial professionals the opportunity to share experiences, knowledge, and ideas. Feedback helps influence products and services Principal Financial Group delivers to Advisors, clients, and participants.; Member of a committee representing the interests of any third party; Share insights and expertise of the retirement plan landscape. Connect with peers to discuss industry trends, best practices, challenges. Review innovation that is being developed.; Start date: 9/1/2024

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-02-14
  • S66 Uniform Combined State Law Examination
    2003-02-14
Other Names
  • Emily M. Gaul
  • Emily M Gaul Minnich

View on SEC IAPD

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