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Kurt Elliott Maier

Ubs Financial Services Inc.

Las Vegas, NV

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2022-11-30
CA RA APPROVED 2015-12-02
TX RA APPROVED_RES 2015-11-23
  • NV RA
    APPROVED
    Since 2022-11-30
  • CA RA
    APPROVED
    Since 2015-12-02
  • TX RA
    APPROVED_RES
    Since 2015-11-23

Branch Locations

10801 W. Charleston Blvd, Las Vegas, NV 89135 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc San Francisco CA 11/2015 Present
Previous Registrations
  • 2008-09-19 → 2015-12-17
    Credit Suisse Securities (Usa) Llc
    San Francisco, CA
  • 2004-05-19 → 2008-10-09
    Lehman Brothers Inc.
    San Francisco, CA
    San Francisco, CA
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-03-31
S63 Uniform Securities Agent State Law Examination 1983-10-21
  • S65 Uniform Investment Adviser Law Examination
    1999-03-31
  • S63 Uniform Securities Agent State Law Examination
    1983-10-21

View on SEC IAPD

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AI AGENT CAPITAL, LLC · LAS VEGAS, NV
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