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Elizabeth Ann Knott

Ubs Financial Services Inc.

Denver, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2026-05-14
NV RA APPROVED 2026-05-14
  • CO RA
    APPROVED
    Since 2026-05-14
  • NV RA
    APPROVED
    Since 2026-05-14

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • 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
Wells Fargo Advisors, Llc Southport NC 11/2014 11/2016
Wells Fargo Clearing Services, Llc Denver CO 11/2016 10/2021
Raymond James & Associates, Inc. Denver CO 10/2021 06/2023
Lpl Financial Llc San Diego CA 01/2024 05/2026
Unemployed Denver CO 07/2023 12/2023
Ubs Financial Services Inc Denver CO 05/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-27
  • S66 Uniform Combined State Law Examination
    2016-08-27
Other Names
  • Elizabeth Ann Westbrook
  • Elizabeth Ann Knott
  • Elizabeth Knott

View on SEC IAPD

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