William Charles Neuens

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
WY	RA	APPROVED	2021-12-09
CO	RA	APPROVED	2010-12-23

WY RA
APPROVED

Since 2021-12-09
CO RA
APPROVED

Since 2010-12-23

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • United States

Laramie, WY • United States

Tabernash, CO • United States

Centennial, CO • 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	Denver	CO	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Denver, CO

Previous Registrations

2009-06-01 → 2010-12-17

Morgan Stanley

Greenwood Village, CO
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Centennial, CO
1999-01-01 → 2007-04-02

Morgan Stanley Dw Inc.

Centennial, CO

Centennial, CO

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-04-30

S63 Uniform Securities Agent State Law Examination

1984-04-30

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

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