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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-11-26
  • MN RA
    APPROVED
    Since 2019-11-26

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • United States

Minneapolis, MN • 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
Ameriprise Financial Services, Inc. Edina MN 05/2015 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Minneapolis MN 10/2017 11/2019
Ubs Financial Services Inc. Wayzata MN 11/2019 Present
Previous Registrations
Other Businesses

Minnehaha Bar Co,travel/ mobile bar hosting events and serving alcohol and drinksNo public facing storefront or address- it is a mobile bar,MinneapolisUnited States,minnehahabarco.comBartending/servingStart date 4/23/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-16
  • S66 Uniform Combined State Law Examination
    2017-12-16
Other Names
  • Karli Cecil Johnson
  • Karli Johnson

View on SEC IAPD

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