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Allen George Zaring

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
NY RA APPROVED 2024-09-17
OH RA APPROVED 2021-04-27
  • NY RA
    APPROVED
    Since 2024-09-17
  • OH RA
    APPROVED
    Since 2021-04-27

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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Cincinnati OH 11/2015 04/2021
Jpmorgan Chase Bank, N.A. Cincinnati OH 11/2015 Present
Swampthang Cincinnati OH 11/2009 Present
Ubs Financial Services, Inc. Cincinnati OH 04/2021 Present
  • 11/2015 → 04/2021
    J.P. Morgan Securities Llc
    Cincinnati, OH
  • 11/2015 → Present
    Jpmorgan Chase Bank, N.A.
    Cincinnati, OH
  • 11/2009 → Present
    Swampthang
    Cincinnati, OH
  • 04/2021 → Present
    Ubs Financial Services, Inc.
    Cincinnati, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-10
S63 Uniform Securities Agent State Law Examination 2016-06-20
  • S66 Uniform Combined State Law Examination
    2021-05-10
  • S63 Uniform Securities Agent State Law Examination
    2016-06-20
Other Names
  • Allen G. Zaring Iv
  • Allen G. Zaring
  • Allen George Zaring
  • Allen George Zaring, Iv

View on SEC IAPD

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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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