Best Investors Account Sign in

Shelly Ann Ritchie

Ubs Financial Services Inc.

Sioux Falls, SD

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2022-10-12
TX RA APPROVED 2022-10-03
  • SD RA
    APPROVED
    Since 2022-10-12
  • TX RA
    APPROVED
    Since 2022-10-03

Branch Locations

6225 South Pinnacle Place Suite 201, Sioux Falls, SD 57108 • 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
Merrill Lynch Pierce Fenner & Smith Sioux Falls SD 09/1999 09/2022
Ubs Financial Services, Inc. Sioux Falls SD 09/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-01-12
S63 Uniform Securities Agent State Law Examination 1995-08-05
  • S65 Uniform Investment Adviser Law Examination
    2000-01-12
  • S63 Uniform Securities Agent State Law Examination
    1995-08-05

View on SEC IAPD

Other Firms

MARINER
THRIVENT INVESTMENT MANAGEMENT INC.
EDWARD JONES
RBC CAPITAL MARKETS, LLC
RIA ADVISORY GROUP, LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PRAIRIE VIEW WEALTH PARTNERS LLC

Other Investors

RUSSELL JAMES PIXLER
Morgen Hall
Christina Lynn
ROSS VINCENT MENKE
ASHLEY NICOLE RENELT
Kelsey J Hardie
Charles Joseph Illg
Keith Adam Knobloch

Other Offices

MARINER · Sioux Falls, SD
MARINER · Sioux Falls, SD
THRIVENT INVESTMENT MANAGEMENT INC. · SIOUX FALLS, SD
EDWARD JONES · SIOUX FALLS, SD
RBC CAPITAL MARKETS, LLC · SIOUX FALLS, SD
RIA ADVISORY GROUP, LLC · Sioux Falls, SD
RIA ADVISORY GROUP, LLC · Sioux Falls, SD
WELLS FARGO CLEARING SERVICES, LLC · SIOUX FALLS, SD

More in Sioux Falls, SD

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor