Morgan Ann Kane

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
MN	RA	APPROVED	2023-08-28

MN RA
APPROVED

Since 2023-08-28

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • 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	Minneapolis	MN	09/2022	Present
Transwestern	Minneapolis	MN	06/2016	01/2019
Transwestern	Minneapolis	MN	01/2019	09/2022

09/2022 → Present

Ubs Financial Services

Minneapolis, MN
06/2016 → 01/2019

Transwestern

Minneapolis, MN
01/2019 → 09/2022

Transwestern

Minneapolis, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-08-28

S66 Uniform Combined State Law Examination

2023-08-28

Other Names

Morgan Ann Rethlake

View on SEC IAPD

Other Firms

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WALLEYE CAPITAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GARDA CAPITAL PARTNERS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

LPL FINANCIAL LLC

Other Investors

JOSEPH ANTHONY DELMONICO

GREGORY CHARLES RIELAND

BRIAN JEROME WARPINSKI

JEAN PAUL PRENEVOST

ESTELLA MORA ECKART

JESSICA ROSE HINDERMANN

Keighley J Spott

GREGORY PAUL OLSON

Other Offices

MORGAN STANLEY · Wayzata, MN

LARSON FINANCIAL GROUP, LLC · Wayzata, MN

EDWARD JONES · Wayzata, MN

WALLEYE CAPITAL LLC · WAYZATA, MN

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WAYZATA, MN

GARDA CAPITAL PARTNERS · WAYZATA, MN

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA, MN

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA , MN

More in Wayzata, MN

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