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Jeffrey M. Michael Steffes

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 2009-09-18
WI RA APPROVED 1996-01-30
  • TX RA
    APPROVED_RES
    Since 2009-09-18
  • WI RA
    APPROVED
    Since 1996-01-30

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. Brookfield WI 10/1991 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-17
S63 Uniform Securities Agent State Law Examination 1992-01-23
  • S65 Uniform Investment Adviser Law Examination
    1999-12-17
  • S63 Uniform Securities Agent State Law Examination
    1992-01-23
Other Names
  • Jeffrey M Steffes
  • Jeffrey Michael Steffes

View on SEC IAPD

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