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Jonathan Simpson Traub

Ubs Financial Services Inc.

Chicago, IL

Naples, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-12-09
TX RA APPROVED_RES 2010-04-29
IL RA APPROVED 2009-04-17
  • FL RA
    APPROVED
    Since 2020-12-09
  • TX RA
    APPROVED_RES
    Since 2010-04-29
  • IL RA
    APPROVED
    Since 2009-04-17

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States

Naples, FL • 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 Chicago IL 04/2009 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-25
  • S66 Uniform Combined State Law Examination
    2005-02-25

View on SEC IAPD

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GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
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PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
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