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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2012-11-21
TX RA APPROVED 2012-11-20
  • OH RA
    APPROVED
    Since 2012-11-21
  • TX RA
    APPROVED
    Since 2012-11-20

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • 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 Financial Services, Inc Cincinnati OH 11/2012 Present
Previous Registrations
Other Businesses

1)NON-PROFIT ORGANIZATION-ANNING FAMILY CHARITABLE FOUNDATION--25 WEEBETOOK LANE--CINCINNATI---OHIO-45208Y-N-1-ANNUALLY-0-5/1/2012-TRUSTEE--CHARITABLE FOUNDATION- 2. FIRST NAME: ROBERT LAST NAME: ANNING PERSON 2) STATUS: APPRVD 1.FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION 2.NAME OF OUTSIDE BUSINESS ORGANIZATION: SYDNEY ANNING TRUST 3.INVESTMENT RELATED: Y 4.ADDRESS OF BUSINESS: 25 WEEBETOOK, CINCINNATI, OHIO 45208 5.COMPENSATION FOR ACTIVITY: N 6.POSITION, TITLE, ASSOCIATION: FIDUCIARY, 7.START DATE OF RELATIONSHIP: 9/2/2008 8.NUMBER OF HOURS DEVOTED: 1 HOUR(S) ANNUALLY 9.NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 10.DUTIES: POA FOR WIFE'S TRUST 3)CINCINNATI CHILDREN'S HOSPITAL MEDICAL CENTER / 3333 BURNET AVE. CINCINNATI,OH 45229 / OTHER/ HEALTH CARE & PHARMACEUTICALS / TREATMENT OF CHILD ILLNESS / TRUSTEE /ADVISOR / START DATE 10/1/1990 / 5 HRS PER MONTH 4)RONALD MCDONALD HOUSE CHARITIES / 350 ERKENBRECHER AVE. CINCINNATI,OH 45229 / OTHER/ HEALTH CARE & PHARMACEUTICALS / PROVIDES HOUSING FOR FAMILIES OF CHILDREN BEING TREATED AT CHILDREN'S HOSPITAL / TRUSTEE / ADVISORY CAPACITY / START DATE 1/9/2006 / 3 HOURS PER MONTH 5)CINCINNATI PARK BOARD / 950 EDEN PARK DRIVE CINCINNATI, OHIO 45202 / / PARK PLANNING AND MAINTENANCE / MEMBER OF A BOARD COMMITTEE WITH MANAGEMENT OR SUPERVISORY FUNCTIONS / CINCINNATI PARK BOARD MEMBER / START DATE 1/2/2006 - / 2 HOURS PER MONTH 6)Convalecent Hospital for Children / Supports various initiatives at Cincinnati Children's Hospital, Member of the board of trustees, 3333 Burnet Ave. Cincinnati,OH 45229 / No/ Active / Start Date 1/1/2017 /

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-15
S63 Uniform Securities Agent State Law Examination 1981-10-22
  • S65 Uniform Investment Adviser Law Examination
    1994-07-15
  • S63 Uniform Securities Agent State Law Examination
    1981-10-22
Other Names
  • Robert D Anning
  • Bob Anning
  • Robert Doan Hopkins Anning

View on SEC IAPD

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