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Stephanie C Holmgren

Ubs Financial Services Inc.

Omaha, NE

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2014-02-05
TX RA APPROVED 2014-01-30
  • NE RA
    APPROVED
    Since 2014-02-05
  • TX RA
    APPROVED
    Since 2014-01-30

Branch Locations

13815 Fnb Parkway Suite 300, Omaha, NE 68154-5220 • 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. Omaha NE 01/2014 Present
Previous Registrations
  • 2012-04-30 → 2014-02-03
    Wells Fargo Clearing Services, Llc
    Omaha, NE
    Sioux Falls, SD
  • 2010-06-01 → 2012-04-09
    First National Capital Markets
    Omaha, NE
  • 2009-10-23 → 2010-06-02
    Cetera Investment Services Llc
    Glenwood, IA
    Omaha, NE
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-22
S63 Uniform Securities Agent State Law Examination 2008-10-15
  • S66 Uniform Combined State Law Examination
    2009-10-22
  • S63 Uniform Securities Agent State Law Examination
    2008-10-15
Other Names
  • Steph Christine Kotschwar
  • Stephanie Christine Kotschwar

View on SEC IAPD

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Other Offices

EQUITABLE ADVISORS, LLC · OMAHA, NE
EQUITABLE ADVISORS, LLC · OMAHA, NE
MML INVESTORS SERVICES, LLC · Omaha, NE
AMERIPRISE FINANCIAL SERVICES, LLC · OMAHA, NE
CETERA INVESTMENT ADVISERS LLC · OMAHA, NE
LPL ENTERPRISE, LLC · OMAHA, NE
PFS INVESTMENTS INC. · OMAHA, NE
PFS INVESTMENTS INC. · Omaha, NE

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