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Robert Michael Swiller

Ubs Financial Services Inc.

Minneapolis, MN

Aspen, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2009-05-15
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2009-05-15

Branch Locations

80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States

Aspen, CO • 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. Minneapolis MN 07/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-04
S63 Uniform Securities Agent State Law Examination 1984-03-28
  • S65 Uniform Investment Adviser Law Examination
    1994-01-04
  • S63 Uniform Securities Agent State Law Examination
    1984-03-28
Other Names
  • Robert Swiller

View on SEC IAPD

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