Joseph Anthony Dieterle

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
VT	RA	APPROVED	2023-10-16
NH	RA	APPROVED	2009-03-20
ME	RA	APPROVED	2008-01-18
MD	RA	APPROVED	2007-01-16
WV	RA	APPROVED	2003-10-08
OH	RA	APPROVED	2003-10-02

VT RA
APPROVED

Since 2023-10-16
NH RA
APPROVED

Since 2009-03-20
ME RA
APPROVED

Since 2008-01-18
MD RA
APPROVED

Since 2007-01-16
WV RA
APPROVED

Since 2003-10-08
OH RA
APPROVED

Since 2003-10-02

Branch Locations

Brunswick, ME • United States

38 Eastwood Drive Suite 400, South Burlington, VT 05403 • United States

11 S. Main Street Suite 300, Concord, NH 03301 • United States

One Merchants Plaza Third Floor, Bangor, ME 04401 • United States

1155 Elm Street Suite 501, Manchester, NH 03101 • United States

67 Merchants Row Suite 102, Rutland, VT 05701 • United States

40 Congress Street, Portsmouth, NH 03801 • United States

One City Center 10Th Floor, Portland, ME 04101 • 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
Ubs Financial Services Inc.	Columbus	OH	10/2003	Present

10/2003 → Present

Ubs Financial Services Inc.

Columbus, OH

Previous Registrations

2003-07-01 → 2003-10-07

Wells Fargo Clearing Services, Llc

Cleveland, OH
1999-09-12 → 2003-07-01

Prudential Equity Group, Llc

Cleveland, OH

Other Businesses

1) Winston Hill Home Owners / 24 Sea Rose Lane Freeport,Maine 04032 / Co-operation/ Other Neighborhood Association / Neighborhood maintenance / Officer / / Host twice yearly meetings and make sure roads are plowed, maintenance, etc... / Start Date 4/19/2017/End Date 4/19/2018/43209 / 2) Make a Wish of Maine / Mussey Rd. South Portland,Maine United States 04101 / Charity/ Charity / Charitable giving to ill children / Member of Board of directors / / advice and fundraising / Start Date 10/3/18 3) Winston Hill Homeowners / Winston Hill Rd. Freeport,Maine 04032 / Association (e.g. Trade or Industry, Sport)/ Real Estate / Homeowners association / Officer / / Make sure roads get plowed and landscaping is done. / Start Date 2/7/2018/ 4) The Maine Deck LLC / Investment Related - Yes / 4570 Smugglers Dr.CaptivaFloridaUnited States33924 / Real Estate / This is a rental home inside an LLC. Home is still under construction and will be completed February 10th, 2022 / Partner / I will own this real estate property and will rent it. My wife will be making most of the decisions and doing most of the work / Start Date: 2/10/2022 5) NAME OF OTHER BUSINESS: Go Gator Go LLC / INVESTMENT RELATED?: No / ADDRESS: 56 Brackett Rd / NATURE OF THE BUSINESS: Sole proprietorship / POSITION: Sole proprietorship/ DUTIES: Services (Business, Professional, Support) / START DATE:9/9/22 / HOURS DEVOTED TO BUSINESS: NA 6) NAME OF OTHER BUSINESS: The Blue Lobster LLC 611 Rum Rd / INVESTMENT RELATED?: no/ ADDRESS: 611 Rum Rd. North Captiva Island, Florida / NATURE OF THE BUSINESS: Real Estate / POSITION: Sole Proprietor/ DUTIES: Real estate that I will rent out./ START DATE: 12/1/21 / HOURS DEVOTED TO BUSINESS: NA 7)Devon Preparatory SchoolUnited States,Educational EstablishmentEducationAll boys Catholic School,Advisor or advisory group member if advice given may influence an officer/boardAdvise the school10 Start Date -9/1/2025

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-21
S63	Uniform Securities Agent State Law Examination	1990-08-23

S65 Uniform Investment Adviser Law Examination

1994-09-21
S63 Uniform Securities Agent State Law Examination

1990-08-23

View on SEC IAPD