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Ashley Nichole Kaiser

Ubs Financial Services Inc.

Stamford, CT

Ridgefield, CT

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-09-29
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2014-08-11
  • CT RA
    APPROVED
    Since 2025-09-29
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2014-08-11

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

Ridgefield, CT • United States

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • 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. New York NY 02/2010 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-09
  • S66 Uniform Combined State Law Examination
    2014-08-09
Other Names
  • Ashley Kaiser

View on SEC IAPD

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