Frederick Knapp Jr.

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2013-12-09
TX	RA	APPROVED	2010-08-18

MN RA
APPROVED

Since 2013-12-09
TX RA
APPROVED

Since 2010-08-18

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • United States

Wayzata, MN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Wayzata	MN	08/2010	Present

08/2010 → Present

Ubs Financial Services Inc

Wayzata, MN

Previous Registrations

2005-01-14 → 2010-08-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

St Paul, MN

Wayzata, MN

Saint Paul, MN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-06-08
S63	Uniform Securities Agent State Law Examination	1982-06-22

S65 Uniform Investment Adviser Law Examination

1995-06-08
S63 Uniform Securities Agent State Law Examination

1982-06-22

Other Names

Rick Knapp
Rick Knapp
Frederick Kenneth Knapp

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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