Shawn Joseph Barth

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-01-06

NJ RA
APPROVED

Since 2025-01-06

Branch Locations

315 Deaderick Street, Nashville, TN 37238 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Curian Capital, Llc	Denver	CO	10/2014	Present
Curian Clearing Llc	Denver	CO	10/2014	Present
Ubs	Nashville	TN	10/2016	Present

10/2014 → Present

Curian Capital, Llc

Denver, CO
10/2014 → Present

Curian Clearing Llc

Denver, CO
10/2016 → Present

Ubs

Nashville, TN

Previous Registrations

2014-11-12 → 2016-03-21

Curian Capital, Llc

Franklin, TN

Denver, CO
2010-01-20 → 2014-10-23

Robert W. Baird & Co. Incorporated

Milwaukee, WI
2005-07-06 → 2009-10-20

Chase Investment Services Corp.

Milwaukee, WI

Appleton, WI

New Berlin, WI

Appleton, WI
2004-11-15 → 2005-07-06

Banc One Securities Corporation

Appleton, WI
2003-07-24 → 2004-10-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Green Bay, WI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-06-05

S66 Uniform Combined State Law Examination

2003-06-05

Other Names

Shawn Barth

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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