Gretchen Elaine Hargroder

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	1997-09-09

TX RA
APPROVED

Since 1997-09-09

Branch Locations

3450 Dowlen Road Suite A, Beaumont, TX 77706 • United States

3450 Dowlen Road, Suite A, Beaumont, TX 77706 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Beaumont	TX	08/1997	Present
Massachusetts Mutual Life Insurance Comp	Springfield	MA	01/1996	Present

08/1997 → Present

Ubs Financial Services Inc.

Beaumont, TX
01/1996 → Present

Massachusetts Mutual Life Insurance Comp

Springfield, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-01-26
S63	Uniform Securities Agent State Law Examination	1994-11-04

S65 Uniform Investment Adviser Law Examination

1998-01-26
S63 Uniform Securities Agent State Law Examination

1994-11-04

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

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