Keith Arnold Swanson

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

Authority	Category	Status	Date
NY	RA	APPROVED	2026-01-02
FL	RA	APPROVED	2022-05-23
NJ	RA	APPROVED	2008-09-23
TX	RA	APPROVED_RES	2006-01-05

NY RA
APPROVED

Since 2026-01-02
FL RA
APPROVED

Since 2022-05-23
NJ RA
APPROVED

Since 2008-09-23
TX RA
APPROVED_RES

Since 2006-01-05

Branch Locations

Pearl River, NY • United States

Tierra Verde, FL • United States

61 South Paramus Road Mack Center Iv, Paramus, NJ 07652 • United States

Disclosures

2 disclosure categories 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 Yes
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.	Paramus	NJ	09/2008	Present

09/2008 → Present

Ubs Financial Services Inc.

Paramus, NJ

Previous Registrations

2002-07-19 → 2003-06-16

Prudential Equity Group, Llc

Paramus, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-06-10
S63	Uniform Securities Agent State Law Examination	1987-10-19

S65 Uniform Investment Adviser Law Examination

1994-06-10
S63 Uniform Securities Agent State Law Examination

1987-10-19

Designations

Certified Financial Planner

View on SEC IAPD