Kelly Diane Rutherford

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2008-07-09

TX RA
APPROVED

Since 2008-07-09

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

Round Rock, TX • 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
Ubs Financial Services Inc	Austin	TX	06/2008	Present

06/2008 → Present

Ubs Financial Services Inc

Austin, TX

Previous Registrations

2007-09-11 → 2008-07-03

Citigroup Global Markets Inc.

Austin, TX
2007-04-02 → 2007-09-05

Morgan Stanley & Co. Llc

Austin, TX
2006-02-15 → 2007-04-02

Morgan Stanley Dw Inc.

Austin, TX

Austin, TX

Other Businesses

Round Rock High School Band Booster Board / Round Rock United States,Texas http://www.dragonbandboosters.com/volunteer/ / No/ Alison Shoepe President record keeping / No / Officer / / recordkeeping / Start Date 9/1/2016/ Appointed No / No

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-01-20
S63	Uniform Securities Agent State Law Examination	2000-02-29

S65 Uniform Investment Adviser Law Examination

2006-01-20
S63 Uniform Securities Agent State Law Examination

2000-02-29

View on SEC IAPD