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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-12
CO RA APPROVED 2025-11-17
  • TX RA
    APPROVED
    Since 2026-01-12
  • CO RA
    APPROVED
    Since 2025-11-17

Branch Locations

Scottsdale, AZ • 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
Self Employed Lakewood CO 12/1988 Present
Cetera Advisor Networks Llc El Segundo CT 09/2013 04/2021
Vantage Financial Group, Inc. Englewood CO 08/2014 12/2016
G&S Retirement Income Advisors Llc Englewood CO 12/2017 08/2022
Mariner Wealth Advisors Scottsdale AZ 04/2021 08/2025
Msec, Llc Scottsdale AZ 04/2021 08/2025
Ubs Financial Services Inc. Denver CO 08/2025 08/2025
Ubs Financial Services Inc. Denver CO 11/2025 Present
  • 12/1988 → Present
    Self Employed
    Lakewood, CO
  • 09/2013 → 04/2021
    Cetera Advisor Networks Llc
    El Segundo, CT
  • 08/2014 → 12/2016
    Englewood, CO
  • 12/2017 → 08/2022
    G&S Retirement Income Advisors Llc
    Englewood, CO
  • 04/2021 → 08/2025
    Mariner Wealth Advisors
    Scottsdale, AZ
  • 04/2021 → 08/2025
    Msec, Llc
    Scottsdale, AZ
  • 08/2025 → 08/2025
    Denver, CO
  • 11/2025 → Present
    Denver, CO
Previous Registrations
  • 2021-04-30 → 2025-11-17
    Scottsdale, AZ
  • 2025-08-18 → 2025-08-28
    Denver, CO
  • 2013-09-03 → 2021-05-04
    Cetera Wealth Services, Llc
    Englewood, CO
    Colorado Springs, CO
    Boulder, CO
  • 2014-08-27 → 2016-12-31
    Englewood, CO
    Cleveland, OH
  • 2005-12-12 → 2013-09-03
    Walnut Street Securities, Inc.
    Avon, CO
    Englewood, CO
  • 2005-03-15 → 2007-05-22
    Scott H Guetz Cfp
    Engelwood, CO
  • 1999-01-01 → 2006-11-02
    Walnut Street Advisers Inc
    Englewood, CO
Other Businesses

INDEPENDENT INSURANCE AGENT, SCOTTSDALE, AZ; NOT INVESTMENT RELATED; LIFE/ACCIDENT/HEALT AGENT; START DATE 08/1982; 1HR/WKDY ONLY; Rock Golf 8,AZUnited States,OtherSecond home in AZ in an LLC,Real Estate,Own residence in AZ with a friend that is in an LLC,Partner,No dutiesStart date -7/3/2020 GUTZ MTN HAUS LLC; WINTER PARK, CO; INVESTMENT RELATED; OWNER/ 33% IN FAMILY HOME; START DATE: 06/2020 ; APX 1 HOUR PER MONTH, NONE DURING TRADING HOURS B G Trust,Trust,AZUnited States,Writing Quarterly checks to US treasury for estimated taxes. Start date 1/1/1993

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-23
S63 Uniform Securities Agent State Law Examination 1983-06-29
  • S65 Uniform Investment Adviser Law Examination
    1997-06-23
  • S63 Uniform Securities Agent State Law Examination
    1983-06-29
Designations

View on SEC IAPD

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