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Donald P Dressel

Ubs Financial Services Inc.

Chicago, IL

Davenport, IA

CRD 1000562

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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
IL RA APPROVED 2009-09-01
TX RA APPROVED_RES 2007-11-13
IA RA APPROVED 2006-08-12
  • IL RA
    APPROVED
    Since 2009-09-01
  • TX RA
    APPROVED_RES
    Since 2007-11-13
  • IA RA
    APPROVED
    Since 2006-08-12

Branch Locations

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States

5515 Utica Ridge Road, Davenport, IA 52807 • 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 Chicago IL 01/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-05
S63 Uniform Securities Agent State Law Examination 1981-08-08
  • S65 Uniform Investment Adviser Law Examination
    2001-03-05
  • S63 Uniform Securities Agent State Law Examination
    1981-08-08
Other Names
  • Donald Dressel
  • Donald Phillip Dressel

View on SEC IAPD

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GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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