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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2026-07-10
  • CO RA
    APPROVED
    Since 2026-07-10

Branch Locations

205 Detroit Street 5Th Floor, Denver, CO 80206 • 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
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 05/2011 04/2022
Tiaa Denver CO 05/2011 04/2022
Pershing Llc Greenwood Village CO 05/2022 10/2022
Pershing Advisor Solutions Llc Greenwood Village CO 05/2022 10/2022
Pershing Llc Centennial CO 10/2022 Present
Pershing Advisor Solutions Llc Centennial CO 10/2022 Present
  • 05/2011 → 04/2022
    Denver, CO
  • 05/2011 → 04/2022
    Tiaa
    Denver, CO
  • 05/2022 → 10/2022
    Pershing Llc
    Greenwood Village, CO
  • 05/2022 → 10/2022
    Pershing Advisor Solutions Llc
    Greenwood Village, CO
  • 10/2022 → Present
    Pershing Llc
    Centennial, CO
  • 10/2022 → Present
    Pershing Advisor Solutions Llc
    Centennial, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-06-15
S63 Uniform Securities Agent State Law Examination 2011-06-30
  • S66 Uniform Combined State Law Examination
    2026-06-15
  • S63 Uniform Securities Agent State Law Examination
    2011-06-30
Other Names
  • Patricia Graven
  • Tricia Graven
  • Tricia L Graven

View on SEC IAPD

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