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Dana Rae Sandborgh

Ubs Financial Services Inc.

Weehawken, NJ

Cottage Grove, MN

CRD 5355969

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2014-02-03
  • MN RA
    APPROVED
    Since 2014-02-03

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Cottage Grove, MN • 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 Wayzata MN 05/2007 09/2016
Ubs Financial Services Inc. Saint Paul MN 10/2016 07/2024
Ubs Financial Services Inc Saint Paul MN 07/2024 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-10-15
  • S63 Uniform Securities Agent State Law Examination
    2013-10-15
Other Names
  • Dana Rae Peterson
  • Dana Rae Sandborgh
  • Dana Rae Peterson

View on SEC IAPD

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