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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2002-08-26
KS RA APPROVED 1997-08-01
TX RA APPROVED_RES 1994-06-24
  • OK RA
    APPROVED
    Since 2002-08-26
  • KS RA
    APPROVED
    Since 1997-08-01
  • TX RA
    APPROVED_RES
    Since 1994-06-24

Branch Locations

1635 N. Waterfront Pkwy Suite 250, Wichita, KS 67206 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Wichita KS 07/2013 Present
Other Businesses

1) KBN LLC /inestment related?: yes/ 2306 N ROSEMONT CIR WICHITA,KS 67228 / PARTNERSHIP/ OIL & GAS INDUSTRIES (EXPLORATION, PRODUCTION, INTEGRATED) / INVESTMENTS / PARTNER / I am a managing member of KBN, LLC; ownership adjustment to 50/50 between my father and I / INVESTMENTS / START DATE 5/24/2021/ Time reqd during working hours?: no 2) NAME OF OTHER BUSINESS:Kevin and Kelsey Nichols / INVESTMENT RELATED?: Yes / ADDRESS: 6225 N 47th St,Paradise Valley,Arizona 85253, US/ NATURE OF THE BUSINESS:We own this vacation home. My wife Kelsey plans to periodically rent short term via property manager. / / DUTIES:I am simply a joint owner of home with my wife Kelsey. She will be the sole person involved in periodic rental/ START DATE: 2/15/2021 / HOURS DEVOTED TO BUSINESS: NA 3)NAME OF OTHER BUSINESS: Wichita Cancer Foundation / INVESTMENT RELATED?: N / ADDRESS:1035 N Emporia Ste 195 / NATURE OF THE BUSINESS: Charity/ POSITION: Member of Board of directors/ DUTIES: Help grow the number of cancer patients the organization can help DATE: 1/2/2023/ HOURS DEVOTED TO BUSINESS: NA 4) Wesley Medical Center, LLC, Wichita KansasUnited States-67214, Company, Health Care & Pharmaceuticals, Advisory board member to the CEO of Wesley Medical Center, a local private hospital in our city, Advisor or advisory group member if advice given may influence an officer/board, Monthly advisory board meetings to assist the CEO, Start date-2/28/2025. 5) Wichita Collegiate School, I serve as a trustee and development of the school, Strategic direction of school-oversight, START DATE-8/10/2015, Kansas United States-67206

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-10
S63 Uniform Securities Agent State Law Examination 1994-03-07
  • S65 Uniform Investment Adviser Law Examination
    1994-03-10
  • S63 Uniform Securities Agent State Law Examination
    1994-03-07

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