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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2024-11-26
CO RA APPROVED 2017-12-11
TX RA APPROVED_RES 2017-12-11
  • MN RA
    APPROVED
    Since 2024-11-26
  • CO RA
    APPROVED
    Since 2017-12-11
  • TX RA
    APPROVED_RES
    Since 2017-12-11

Branch Locations

North St Paul, MN • United States

1801 13Th Street, Boulder, CO 80302 • United States

444 Cedar St, St Paul, MN 55101-2108 • 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
Cambridge Investment Research, Inc. Fairfield IA 06/2016 11/2017
Ubs Financial Services Co CO 11/2017 Present
  • 06/2016 → 11/2017
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 11/2017 → Present
    Ubs Financial Services
    Co, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-16
S63 Uniform Securities Agent State Law Examination 2009-12-08
  • S66 Uniform Combined State Law Examination
    2014-12-16
  • S63 Uniform Securities Agent State Law Examination
    2009-12-08
Other Names
  • Laura Ann Goodell

View on SEC IAPD

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