Best Investors Account Sign in

Roland Olaf Vonwinckelmann

Ubs Financial Services Inc.

Pasadena, CA

Pasadena, CA

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-09-05
CA RA APPROVED 2000-01-03
  • TX RA
    APPROVED_RES
    Since 2023-09-05
  • CA RA
    APPROVED
    Since 2000-01-03

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States

200 S Los Robles Avenue Suite 600, Pasadena, CA 91101 • 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. Pasadena CA 12/1999 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-11
S63 Uniform Securities Agent State Law Examination 1996-05-24
  • S65 Uniform Investment Adviser Law Examination
    1996-06-11
  • S63 Uniform Securities Agent State Law Examination
    1996-05-24
Other Names
  • Roland O Vonwinckelmann

View on SEC IAPD

Other Firms

CMR CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.
MML INVESTORS SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
NASDAQ DORSEY WRIGHT
U.S. BANCORP ADVISORS, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

More in Pasadena, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor