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Tammy Lynn Kelly

Ubs Financial Services Inc.

Portland, ME

Biddeford, ME

CRD 5798349

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2012-10-18
  • ME RA
    APPROVED
    Since 2012-10-18

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • United States

Biddeford, ME • 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 Bangor ME 06/2010 Present
  • 06/2010 → Present
    Ubs
    Bangor, ME
Other Businesses

UPS; 40 Tivoli Dr, Wells, ME 04090; Delivery; I will be a delivery helper. Delivering packages and letters; 12/7/2019

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-22
  • S66 Uniform Combined State Law Examination
    2012-09-22
Other Names
  • Tammy Lynn Parker

View on SEC IAPD

Nearby Firms

PORTLAND FINANCIAL PLANNING GROUP
J.P. MORGAN SECURITIES LLC
GREAT DIAMOND PARTNERS, LLC

Nearby Investors

BRIAN LUTHER DIETZ
William Emmet
JOHN MARSHALL PIPER

Nearby Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME

More in Portland, ME

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