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Heather Lynn Clark

Ubs Financial Services Inc.

Chicago, IL

Winfield, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-10-07
  • IL RA
    APPROVED
    Since 2020-10-07

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Winfield, IL • 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 Chicago IL 04/2013 03/2020
Fidelity Brokerage Services Llc Naperville IL 03/2020 09/2020
Ubs Financial Services, Inc. Chicago IL 10/2020 Present
Previous Registrations
  • 2020-04-24 → 2020-09-28
    Fidelity Personal And Workplace Advisors
    Naperville, IL
  • 2009-10-21 → 2020-03-31
    Ubs Financial Services Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Naperville, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-10-20
S63 Uniform Securities Agent State Law Examination 2006-09-13
  • S66 Uniform Combined State Law Examination
    2009-10-20
  • S63 Uniform Securities Agent State Law Examination
    2006-09-13
Other Names
  • Heather L Oltz
  • Heather Oltz
  • Heather Lynn Oltz
  • Heather L Clark
  • Heather Lynn Clark
  • Heather Clark
  • Heather Clark

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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