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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2006-12-01
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2006-12-01

Branch Locations

4150 S Second St Su 500, St Cloud, MN 56301-7319 • 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. Alexandria MN 08/2006 Present
Other Businesses

1)KARL'S INC. 605 MAIN STREET, GREGORY, SD, 57533. VICE PRESIDENT OF THE CORPORATION, MOST QUARTERLY MEETINGS WITH THE BOARD. 10/11/06, VICE PRESIDENT, 2 HOURS PER MONTH. 2)CENTRAL MN COMMUNITY FOUNDATION PROFESSIONAL ADVISORS COMMITTEE/CHARITABLE FOUNDATION/1 HR. PER MONTH/CHAIR OF COMMITTEE, start date-10/11/2006 3) Sky Manor Aero Club, Inc. / 26738 Island Air Drive Park Rapids,MN 56470 / Company/ Other Flying Club Assn. / Neighborhood Assn. / Member of Board of Directors / / president of board / Start Date 12/31/15 / 4) St. Cloud Flying Club, LLC / Saint Cloud,MN 56301 / Company/ Other personal/business use corp / plane ownership / Officer / / none, pay bills, maintain aircraftm file paperwork needed / Start Date 12/23/15 / 5) Dakota Road Investments, LLC/ investment related?:yes / Saint Cloud, MN, 56301/ Company/Proprietor / owner/This is a personally owned partnership or LLC./ start date: 1/21/2022 6) Lower Town Music, LLC/ Category - Company/ Principal Business Activity - music entertainment/ Role - Proprietor / owner/ Duty - CEO/ Comp -No, start date-5/20/2019. 7) K. Inc Holdings Trust,Trustee of the holdings trust. I can vote the company stock, make distributions and investments as needed.,United States,www.karlsonline.com,Vote company stock, make distributions and transfers or investments as needed. Start date -12/1/2025 8)KLLP Holdings Trust,Trustee and can make investments and distributions from KLLP as needed if my Dad can not.,United States,I am Trustee of this family trust that holds the real estate leased to a privately held family business. By Dad owns the stock and the bulk of KLLP stock, but placed this stock in the holdings trust for estate planning purposes.Start date12/1/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-18
S63 Uniform Securities Agent State Law Examination 1981-11-07
  • S65 Uniform Investment Adviser Law Examination
    1998-05-18
  • S63 Uniform Securities Agent State Law Examination
    1981-11-07

View on SEC IAPD

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