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Gregory Lee Pfaff

Ubs Financial Services Inc.

Brookfield, WI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-11-04
WI RA APPROVED 2002-06-27
  • TX RA
    APPROVED_RES
    Since 2019-11-04
  • WI RA
    APPROVED
    Since 2002-06-27

Branch Locations

17335 Golf Parkway Suite 525, Brookfield, WI 53045 • 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. Milwaukee WI 07/1991 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-04-02
  • S63 Uniform Securities Agent State Law Examination
    1991-04-02
Other Names
  • Gregory L Pfaff
  • Greg Pfaff

View on SEC IAPD

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