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Lorelei Elisabeth Tumino

Ubs Financial Services Inc.

Cincinnati, OH

Independence, KY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2016-08-04
  • OH RA
    APPROVED
    Since 2016-08-04

Branch Locations

312 Walnut Street Suite 3300, Cincinnati, OH 45202 • United States

Independence, KY • 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 Cincinnati OH 07/2016 Present
Previous Registrations
  • 2013-08-06 → 2016-08-02
    Waddell & Reed
    Savage, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-05
  • S66 Uniform Combined State Law Examination
    2013-08-05
Other Names
  • Lorelei E Johnson
  • Lorelei Elisabeth Johnson

View on SEC IAPD

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Other Offices

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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