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Keith Robert Stein

Ubs Financial Services Inc.

St Paul, MN

Lake Elmo, MN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-10-18
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2012-12-03
  • CO RA
    APPROVED
    Since 2021-10-18
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2012-12-03

Branch Locations

444 Cedar St, St Paul, MN 55101-2108 • United States

Lake Elmo, MN • 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
Piper Jaffray Inc. St Paul MN 08/1995 Present
Ubs Financial Services Inc. St Paul MN 08/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-01
S63 Uniform Securities Agent State Law Examination 1995-10-25
  • S65 Uniform Investment Adviser Law Examination
    1995-11-01
  • S63 Uniform Securities Agent State Law Examination
    1995-10-25

View on SEC IAPD

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Other Offices

CLEARWATER MANAGEMENT CO., INC. · ST PAUL, MN
FIDUCIARY COUNSELLING INC · ST PAUL, MN
MAIRS & POWER · ST. PAUL, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT PAUL, MN
HILLTOP SECURITIES INC. · St. Paul, MN
WELLS FARGO CLEARING SERVICES, LLC · SAINT PAUL, MN
CAPTRUST · ST. PAUL, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SAINT PAUL, MN

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