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Kevin Patrick Roe

Ubs Financial Services Inc.

Rochester, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-08-22
  • NY RA
    APPROVED
    Since 2023-08-22

Branch Locations

400 Linden Oaks, Rochester, NY 14625 • 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 Rochester NY 11/2015 08/2020
Facet Wealth Baltimore MD 08/2020 06/2023
Ubs Financial Services Inc. Rochester NY 08/2023 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-10-05
S66 Uniform Combined State Law Examination 2015-12-16
  • S63 Uniform Securities Agent State Law Examination
    2023-10-05
  • S66 Uniform Combined State Law Examination
    2015-12-16
Designations
Other Names
  • Kevin P Roe

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
MARINER · Rochester, NY
UBS FINANCIAL SERVICES INC. · Rochester, NY

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