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Liam Fanola

Ubs Financial Services Inc.

Minneapolis, MN

Wayzata, MN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2021-11-02
  • MN RA
    APPROVED
    Since 2021-11-02

Branch Locations

Minneapolis, MN • United States

681 East Lake Street Suite 354, Wayzata, MN 55391 • 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 Wayzata MN 05/2021 Present
Alerus Minneapolis MN 09/2018 Present
Self-Employed Boston MA 02/2015 09/2018
  • 05/2021 → Present
    Ubs
    Wayzata, MN
  • 09/2018 → Present
    Alerus
    Minneapolis, MN
  • 02/2015 → 09/2018
    Self-Employed
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-02
S63 Uniform Securities Agent State Law Examination 2005-03-09
  • S66 Uniform Combined State Law Examination
    2021-11-02
  • S63 Uniform Securities Agent State Law Examination
    2005-03-09
Other Names
  • Guillermo Jose Fanola

View on SEC IAPD

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