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Nicholas Gerard Frank

Ubs Financial Services Inc.

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-01-31
NJ RA APPROVED 2021-11-18
  • OH RA
    APPROVED
    Since 2022-01-31
  • NJ RA
    APPROVED
    Since 2021-11-18

Branch Locations

8044 Montgomery Road, Ste. 10 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
OrganizationCityStateFromTo
Ubs Financial Services Weehawken NJ 07/2021 Present
Ubs Financial Services Cincinnati OH 06/2019 07/2021
Xavier University Cincinnati OH 08/2017 05/2021
Middleburg Heights Service Department Middleburg Heights OH 05/2017 08/2017
Saint Ignatius High School Cleveland OH 08/2013 05/2017
  • 07/2021 → Present
    Ubs Financial Services
    Weehawken, NJ
  • 06/2019 → 07/2021
    Ubs Financial Services
    Cincinnati, OH
  • 08/2017 → 05/2021
    Xavier University
    Cincinnati, OH
  • 05/2017 → 08/2017
    Middleburg Heights Service Department
    Middleburg Heights, OH
  • 08/2013 → 05/2017
    Saint Ignatius High School
    Cleveland, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-16
  • S66 Uniform Combined State Law Examination
    2021-11-16

View on SEC IAPD

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QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
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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
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