Joann Ziegler

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-08-27

IL RA
APPROVED

Since 2025-08-27

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • United States

Palatine, IL • 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

Organization	City	State	From	To
Ubs Financial Services	Northbrook	IL	06/2013	Present

06/2013 → Present

Ubs Financial Services

Northbrook, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-08-27
S63	Uniform Securities Agent State Law Examination	2006-01-30

S66 Uniform Combined State Law Examination

2025-08-27
S63 Uniform Securities Agent State Law Examination

2006-01-30

Other Names

Joann Szawlowski

View on SEC IAPD

Other Firms

ALLSTATE FINANCIAL ADVISORS, LLC

RITHOLTZ WEALTH MANAGEMENT

SHARP CIRCLE CONSULTING, LLC

DDS INVESTMENT MANAGEMENT, INC.

LPL ENTERPRISE, LLC

OSAIC WEALTH, INC.

E. A. HORWITZ LLC

EAGLE STRATEGIES LLC

Other Investors

KEVIN J TAALMAN

BRIAN ADAM ROSEN

MATTHEW S MEYER

YAKOV MOSHE BAYLIS

WENDY FELICIA JACOBSON-ROSEN

WALTER WALEED COSMO

Charles Louis Rosen

JAY MICHAEL RUBINSTEIN

Other Offices

ALLSTATE FINANCIAL ADVISORS, LLC · Northbrook, IL

RITHOLTZ WEALTH MANAGEMENT · Northbrook, IL

SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL

DDS INVESTMENT MANAGEMENT, INC. · NORTHBROOK, IL

LPL ENTERPRISE, LLC · NORTHBROOK, IL

SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL

OSAIC WEALTH, INC. · NORTHBROOK, IL

E. A. HORWITZ LLC · DEERFIELD, IL

More in Northbrook, IL

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