Maggie Adele Ellis

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2025-11-12

OH RA
APPROVED

Since 2025-11-12

Branch Locations

8044 Montgomery Road The Towers At Kenwood, Cincinnati, OH 45236 • 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
Duke Energy	Cincinnati	OH	06/2022	08/2024
School	Cincinnati	OH	06/2014	06/2022
Ubs	Cincinnati	OH	10/2024	Present

06/2022 → 08/2024

Duke Energy

Cincinnati, OH
06/2014 → 06/2022

School

Cincinnati, OH
10/2024 → Present

Ubs

Cincinnati, OH

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-11-10

S66 Uniform Combined State Law Examination

2025-11-10

View on SEC IAPD

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Other Investors

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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

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