Andrew Michael Kauth

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2011-05-11
TX	RA	APPROVED_RES	2011-05-05

CO RA
APPROVED

Since 2011-05-11
TX RA
APPROVED_RES

Since 2011-05-05

Branch Locations

205 Detroit Street 5Th Floor, Denver, CO 80206 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Denver	CO	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Denver, CO

Previous Registrations

2005-06-10 → 2011-04-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO

Denver, CO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-06-09
S63	Uniform Securities Agent State Law Examination	1997-10-07

S66 Uniform Combined State Law Examination

2005-06-09
S63 Uniform Securities Agent State Law Examination

1997-10-07

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews