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David A Schmitz

Ubs Financial Services Inc.

Cincinnati, OH

Milford, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-01-06
OH RA APPROVED 2021-11-16
  • TX RA
    APPROVED_RES
    Since 2025-01-06
  • OH RA
    APPROVED
    Since 2021-11-16

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • United States

Milford, OH • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cincinnati OH 04/2008 Present
Bank Of America, N.A. Cincinnati OH 01/2015 Present
Ubs Financial Services Inc Cincinnati OH 11/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-20
  • S66 Uniform Combined State Law Examination
    2009-11-20

View on SEC IAPD

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QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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