Karen Chapman

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2006-06-28

TN RA
APPROVED

Since 2006-06-28

Branch Locations

The Krystal Building One Union Square, Chattanooga, TN 37402 • United States

One Union Square, Chattanooga, TN 37402 • United States

Graysville, TN • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Chattanooga	TN	02/2003	Present

02/2003 → Present

Ubs Financial Services Inc.

Chattanooga, TN

Other Businesses

ARBONNE. MANUFACTURE AND DISTRIBUTE PERSONAL PRODUCTS, SKIN CARE, VITAMINS, MAKEUP, ETC. 4/27/06, INDEPENDENT CONSULTANT, 10 HOURS PER MONTH. 2)LITTLE MISS MAG EARLY LEARNING CENTER / 225 LOOKOUT STREET CHATTANOOGA,TN 37403 / OTHER/ EARLY DEVELOPMENT CHILD CARE / MEMBER OF BOARD OF DIRECTORS / START DATE 6/2/2014

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-06-27
S63	Uniform Securities Agent State Law Examination	2005-10-01

S66 Uniform Combined State Law Examination

2006-06-27
S63 Uniform Securities Agent State Law Examination

2005-10-01

View on SEC IAPD