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Joan Marie Hafemeister

Ubs Financial Services Inc.

Morrison, CO

Denver, CO

CRD 6240625

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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
CO RA APPROVED 2024-08-29
TX RA APPROVED 2024-08-29
  • CO RA
    APPROVED
    Since 2024-08-29
  • TX RA
    APPROVED
    Since 2024-08-29

Branch Locations

Morrison, CO • United States

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • 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 Incorporated Greenwood CO 08/2013 08/2024
Ubs Financial Services Inc. Denver CO 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-01
  • S66 Uniform Combined State Law Examination
    2020-06-01
Other Names
  • Joan M Shreeve

View on SEC IAPD

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