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Account
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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2014-08-29 |
| MO | RA | APPROVED | 2014-02-19 |
| NV | RA | APPROVED | 2011-09-01 |
| TX | RA | APPROVED_RES | 2010-03-06 |
| CO | RA | APPROVED | 2006-01-09 |
Branch Locations
17335 Golf Parkway Suite 525, Brookfield, WI 53045 • United States
6225 South Pinnacle Place Suite 201, Sioux Falls, SD 57108 • United States
1075 Jordan Creek Parkway Suite 100, West Des Moines, IA 50266 • United States
4622 Pennsylvania Avenue 8Th Floor, Kansas City, MO 64112 • United States
5515 Utica Ridge Road, Davenport, IA 52807 • United States
8020 Excelsior Drive Suite 400, Madison, WI 53717 • United States
11150 Overbrook Road S Suite 300, Leawood, KS 66211 • United States
One Hallbrook Place 11150 Overbrook Road, Leawood, KS 66211-2298 • United States
17335 Golf Parkway Suite 525, Brookfield, WI 53045 • United States
1635 N. Waterfront Pkwy Suite 250, Wichita, KS 67206 • United States
17335 Golf Parkway Suite 525, Brookfield, WI 53045 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Kansas City | MO | 02/2014 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-06 |
| S65 | Uniform Investment Adviser Law Examination | 1996-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-12 |
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