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Heather Marie Steggall

Ubs Financial Services Inc.

Birmingham, MI

CRD 3133356

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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

AuthorityCategoryStatusDate
MI RA APPROVED 2011-02-09
  • MI RA
    APPROVED
    Since 2011-02-09

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • 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. Birmingham MI 01/2010 Present
Previous Registrations
  • 2007-05-04 → 2007-12-31
    Ubs Financial Services Inc.
    Birmingham, MI
  • 2006-09-27 → 2007-05-09
    J.P. Morgan Securities Inc.
    Bloomfield Hills, MI
  • 2005-06-02 → 2006-09-27
    Banc One Securities Corporation
    Bloomfield Hills, MI
    Chicago, IL
    Bloomfield Hills, MI
Other Businesses

OAKLAND FAMILY SERVICES / 114 ORCHARD LAKE RD. PONTIAC,MI 48341 / I AM A FOSTER PARENT/ START DATE 11/1/2013

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-06-01
  • S66 Uniform Combined State Law Examination
    2005-06-01
Other Names
  • Heather Marie Kangas

View on SEC IAPD

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