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Seth A Mitchell

Ubs Financial Services Inc.

Denver, CO

Denver, CO

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-02
NJ RA APPROVED 2023-01-09
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2016-09-29
  • CO RA
    APPROVED
    Since 2025-01-02
  • NJ RA
    APPROVED
    Since 2023-01-09
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2016-09-29

Branch Locations

370-17Th Street, Denver, CO 80202 • United States

Denver, CO • United States

299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • 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 New York NY 10/2007 Present
Other Businesses

COLLINE PRODUCTIONS AN INFORMATION "HOW TO" VIDEO FOR PERFROMERS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-13
S63 Uniform Securities Agent State Law Examination 1990-07-06
  • S65 Uniform Investment Adviser Law Examination
    1997-02-13
  • S63 Uniform Securities Agent State Law Examination
    1990-07-06

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

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