Best Investors Account Sign in

Laura Walker

Ubs Financial Services Inc.

Cincinnati, OH

Sharonville, OH

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-09-25
  • OH RA
    APPROVED
    Since 2017-09-25

Branch Locations

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

Sharonville, 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
Fidelity Brokerage Services, Llc Covington KY 10/2013 08/2017
Ubs Financial Services Inc. Cincinnati OH 08/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-04-09
S63 Uniform Securities Agent State Law Examination 2015-03-16
  • S66 Uniform Combined State Law Examination
    2018-04-09
  • S63 Uniform Securities Agent State Law Examination
    2015-03-16
Other Names
  • Laura Marie Walker

View on SEC IAPD

Other Firms

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

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

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

More in Cincinnati, OH

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor