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Paul Dennis Nelson

Ubs Financial Services Inc.

Fargo, ND

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2021-10-19
TX RA APPROVED_RES 2017-08-08
ND RA APPROVED 2009-04-27
  • MN RA
    APPROVED
    Since 2021-10-19
  • TX RA
    APPROVED_RES
    Since 2017-08-08
  • ND RA
    APPROVED
    Since 2009-04-27

Branch Locations

51 Broadway, Fargo, ND 58102-4970 • 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 Fargo ND 04/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-06
S63 Uniform Securities Agent State Law Examination 1990-03-28
  • S65 Uniform Investment Adviser Law Examination
    2001-03-06
  • S63 Uniform Securities Agent State Law Examination
    1990-03-28

View on SEC IAPD

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