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Samuel Patton Sullivan

Ubs Financial Services Inc.

Omaha, NE

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-20
NE RA APPROVED 2022-09-07
  • TX RA
    APPROVED
    Since 2023-11-20
  • NE RA
    APPROVED
    Since 2022-09-07

Branch Locations

13815 Fnb Parkway Suite 300, Omaha, NE 68154-5220 • 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
Charles Schwab & Co., Inc. Chicago IL 02/2016 08/2022
Charles Schwab Bank Chicago IL 05/2017 08/2022
Ubs Financial Services Omaha NE 09/2022 Present
  • 02/2016 → 08/2022
    Charles Schwab & Co., Inc.
    Chicago, IL
  • 05/2017 → 08/2022
    Charles Schwab Bank
    Chicago, IL
  • 09/2022 → Present
    Ubs Financial Services
    Omaha, NE
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-29
  • S66 Uniform Combined State Law Examination
    2016-07-29
Designations

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · OMAHA, NE
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