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Joshua Anthony Willen

Ubs Financial Services Inc.

Birmingham, MI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-07-11
OH RA APPROVED 2023-07-10
  • KY RA
    APPROVED
    Since 2023-07-11
  • OH RA
    APPROVED
    Since 2023-07-10

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • 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
Merrill Lynch Pierce Fenner & Smith Cincinnati OH 01/2016 11/2016
Ubs Financial Services, Inc. Cincinnati OH 11/2016 10/2021
Kestra Investment Services, Llc Cincinnati OH 11/2021 07/2023
Kestra Advisory Services, Llc. Cincinnati OH 11/2021 07/2023
Ubs Financial Services, Inc. Cincinnati OH 07/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-23
S63 Uniform Securities Agent State Law Examination 2009-03-06
  • S65 Uniform Investment Adviser Law Examination
    2018-08-23
  • S63 Uniform Securities Agent State Law Examination
    2009-03-06
Other Names
  • Joshua A Willen
  • Josh A Willen
  • Josh Willen
  • Joshua A Willen

View on SEC IAPD

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