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Dennis C. Klein

Ubs Financial Services Inc.

Cincinnati, OH

Kiawah Island, SC

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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

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QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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