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Erik Lee Puffenberger

Ubs Financial Services Inc.

Hudson, OH

Sylvania, OH

Columbus, OH

New Albany, OH

Columbus, OH

Akron, OH

Westlake, OH

Rocky River, 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 2007-08-02
  • OH RA
    APPROVED
    Since 2007-08-02

Branch Locations

43 Village Way Suite 201, Hudson, OH 44236 • United States

5757 Monroe Street, Sylvania, OH 43560 • United States

5007 Horizons Drive, Columbus, OH 43220 • United States

180 Market St. Ste. 200, New Albany, OH 43054 • United States

5007 Horizons Drive Suite 200, Columbus, OH 43220-5288 • United States

175 Montrose West Avenue, Akron, OH 44321 • United States

2055 Crocker Road, Westlake, OH 44145 • United States

18500 Lake Road Suite 400, Rocky River, OH 44116 • 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 Upper Arlington OH 11/2009 Present
Previous Registrations
  • 2006-05-24 → 2007-04-18
    National Planning Corporation
    Monroeville, PA
  • 2004-07-07 → 2005-12-31
    J.P. Morgan Asset Management
    Columbus, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-25
S63 Uniform Securities Agent State Law Examination 1999-04-30
  • S66 Uniform Combined State Law Examination
    2004-06-25
  • S63 Uniform Securities Agent State Law Examination
    1999-04-30

View on SEC IAPD

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