Best Investors Account Sign in

Annette Rumas

Ubs Financial Services Inc.

Northbrook, IL

Mount Prospect, IL

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-10-29
  • IL RA
    APPROVED
    Since 2021-10-29

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • United States

Mount Prospect, IL • 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. Northbrook IL 05/2014 03/2021
Ubs Financial Services Inc. Northbrook IL 10/2021 Present
Unemployed Mount Prospect IL 03/2021 10/2021
Previous Registrations
  • 2014-05-13 → 2021-03-25
    Ubs Financial Services Inc.
    Northbrook, IL
  • 2012-10-01 → 2013-03-04
    J.P. Morgan Securities Llc
    Lake Forest, IL
    Deerfield, IL
  • 2011-07-21 → 2012-10-01
    Chase Investment Services Corp.
    Palatine, IL
    Lake Forest, IL
    Deerfield, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-07-20
S63 Uniform Securities Agent State Law Examination 2007-04-20
  • S65 Uniform Investment Adviser Law Examination
    2011-07-20
  • S63 Uniform Securities Agent State Law Examination
    2007-04-20
Other Names
  • Annette Mihun

View on SEC IAPD

Other Firms

ALLSTATE FINANCIAL ADVISORS, LLC
RITHOLTZ WEALTH MANAGEMENT
SHARP CIRCLE CONSULTING, LLC
DDS INVESTMENT MANAGEMENT, INC.
LPL ENTERPRISE, LLC
OSAIC WEALTH, INC.
E. A. HORWITZ LLC
EAGLE STRATEGIES LLC

Other Investors

KEVIN J TAALMAN
BRIAN ADAM ROSEN
MATTHEW S MEYER
YAKOV MOSHE BAYLIS
WENDY FELICIA JACOBSON-ROSEN
WALTER WALEED COSMO
Charles Louis Rosen
JAY MICHAEL RUBINSTEIN

Other Offices

ALLSTATE FINANCIAL ADVISORS, LLC · Northbrook, IL
RITHOLTZ WEALTH MANAGEMENT · Northbrook, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
DDS INVESTMENT MANAGEMENT, INC. · NORTHBROOK, IL
LPL ENTERPRISE, LLC · NORTHBROOK, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
OSAIC WEALTH, INC. · NORTHBROOK, IL
E. A. HORWITZ LLC · DEERFIELD, IL

More in Northbrook, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor