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Colin Craig Faulkner

Ubs Financial Services Inc.

Miamisburg, OH

Miamisburg, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2018-08-17
  • OH RA
    APPROVED
    Since 2018-08-17

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States

Miamisburg, OH • 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. Miamisburg OH 05/2018 Present
Ubs Financial Services, Inc. Miamisburg OH 01/2017 04/2018
Wells Fargo Advisors Dayton OH 08/2016 10/2016
Other Businesses

University of Dayton; Class instructor; Dayton, Ohio; Start date: 1/31/2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-17
  • S66 Uniform Combined State Law Examination
    2018-08-17
Other Names
  • Colin Faulkner

View on SEC IAPD

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