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Ann M Graef

Ubs Financial Services Inc.

Indianapolis, IN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-08-10
  • IN RA
    APPROVED
    Since 2022-08-10

Branch Locations

8801 River Crossing Blvd 4Th Floor, Indianapolis, IN 46240 • 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
Lpl Financial Llc Indianapolis IN 11/2013 05/2022
Ubs Financial Services Inc. Indianapolis IN 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-09
S63 Uniform Securities Agent State Law Examination 2011-02-24
  • S65 Uniform Investment Adviser Law Examination
    2011-11-09
  • S63 Uniform Securities Agent State Law Examination
    2011-02-24
Other Names
  • Ann Graef
  • Ann M Summan
  • Ann M Graef

View on SEC IAPD

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