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Dennis C. Klein

Ubs Financial Services Inc.

Cincinnati, OH

Kiawah Island, SC

CRD 1162314

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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
SC RA APPROVED 2016-05-11
TX RA APPROVED_RES 2010-03-09
OH RA APPROVED 2009-03-02
  • SC RA
    APPROVED
    Since 2016-05-11
  • TX RA
    APPROVED_RES
    Since 2010-03-09
  • OH RA
    APPROVED
    Since 2009-03-02

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • United States

Kiawah Island, SC • 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 Cincinnati OH 02/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-07-29
  • S63 Uniform Securities Agent State Law Examination
    1983-07-29
Other Names
  • Dennis Charles Klein
  • Dennis C. Klein
  • Dennis C. C. Klein

View on SEC IAPD

Nearby Firms

QUEEN CITY CAPITAL MANAGEMENT, LLC
OSAIC WEALTH, INC.
BAHL & GAYNOR LLC

Nearby Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS

Nearby Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH

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