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Randall Todd Petersen

Ubs Financial Services Inc.

Wayzata, MN

Weehawken, NJ

Plymouth, MN

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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 2012-09-07
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2012-09-07

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Plymouth, MN • 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
Piper Jaffray Inc. Wayzata MN 11/1989 Present
Ubs Financial Services Inc. New York NY 08/2006 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-27
S63 Uniform Securities Agent State Law Examination 1986-04-04
  • S65 Uniform Investment Adviser Law Examination
    1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    1986-04-04
Other Names
  • Randy Peterson

View on SEC IAPD

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