Best Investors Account Sign in
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-03-08
  • MN RA
    APPROVED
    Since 2019-03-08

Branch Locations

St. Petersburg, FL • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Community Bank Mankato MN 08/2016 02/2019
Sorrento Pacific Financial, Llc San Diego CA 08/2016 02/2019
Minnesota State University-Mankato Mankato MN 08/2013 12/2017
Ubs Financial Services Inc. Wayzata MN 03/2019 07/2022
Ubs Financial Services Inc. St. Petersburg FL 07/2022 Present
  • 08/2016 → 02/2019
    Community Bank
    Mankato, MN
  • 08/2016 → 02/2019
    Sorrento Pacific Financial, Llc
    San Diego, CA
  • 08/2013 → 12/2017
    Minnesota State University-Mankato
    Mankato, MN
  • 03/2019 → 07/2022
    Wayzata, MN
  • 07/2022 → Present
    St. Petersburg, FL
Previous Registrations
  • 2017-10-17 → 2019-02-28
    Sorrento Pacific Financial, Llc
    Mankato, MN
    Mankato, MN
Other Businesses

NAME OF OTHER BUSINESS: Liquid Limo, LLC/ INVESTMENT RELATED?:N / ADDRESS: 6021 Bahia Del Mar Cir #538 / NATURE OF THE BUSINESS: Transport, Enity is a holding company used to own a US Coast Guard Registerd Yacht Owned by my Husband (marriage date 11.17.2022) for liability and tax planning proposes. / POSITION:_Enity is a holding company used to own a US Coast Guard Registerd Yacht Owned by my Husband (marriage date 11.17.2022) for liability and tax planning proposes. / DUTIES: Husband owns boat in this entity structure / START DATE: 11/17/22 / HOURS DEVOTED TO BUSINESS: NA Ampersand Stella, LLC,United States33715,CompanyHousehold Goods & TextilesOnline AI driven e-commerce business selling consumer products.Inactive / DormantProprietor / ownerManage operations of the automated business. Ensure that company is ran in compliance with federal and state laws.Start date- 8/15/2025Investment - Yes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-10
S63 Uniform Securities Agent State Law Examination 2016-05-21
  • S65 Uniform Investment Adviser Law Examination
    2017-10-10
  • S63 Uniform Securities Agent State Law Examination
    2016-05-21

View on SEC IAPD

More in St. Petersburg, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor