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Patty A. Walker

Ubs Financial Services Inc.

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2009-01-16
AL RA APPROVED 2008-11-20
  • OH RA
    APPROVED
    Since 2009-01-16
  • AL RA
    APPROVED
    Since 2008-11-20

Branch Locations

312 Walnut Street Suite 3300, Cincinnati, OH 45202 • 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 Cincinnati OH 11/2013 Present
Other Businesses

BLACK DIAMOND DESIGNS / 2333 NICHOLSON AVE CINCINNATI,OH 45211 / DBA - OWNER/ START DATE 12/1/2012

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-19
S63 Uniform Securities Agent State Law Examination 1993-05-11
  • S65 Uniform Investment Adviser Law Examination
    2008-11-19
  • S63 Uniform Securities Agent State Law Examination
    1993-05-11
Other Names
  • Patty Ann Walker
  • Patty Ann Davis

View on SEC IAPD

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Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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