Kelli Elisabeth Baumgardner

Ubs Financial Services Inc.

Palm Beach Gardens, FL

Palm Beach Gardens, FL

Newport Beach, CA

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-07-14
FL	RA	APPROVED	2025-09-16
CA	RA	APPROVED	2020-09-30

TX RA
APPROVED_RES

Since 2026-07-14
FL RA
APPROVED

Since 2025-09-16
CA RA
APPROVED

Since 2020-09-30

Branch Locations

Palm Beach Gardens, FL • United States

3801 Pga Blvd. Suite 1000, Palm Beach Gardens, FL 33410 • United States

888 San Clemente Drive Suite 300, Newport Beach, CA 92660 • United States

Dana Point, CA • United States

Dana Point, CA • 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

Organization	City	State	From	To
First American Title	Santa Ana	CA	06/2016	09/2016
First American Title	Santa Ana	CA	06/2017	08/2017
Education	Irvine	CA	09/2014	04/2018
Ubs Financial Services Inc.	Newport Beach	CA	05/2018	Present

06/2016 → 09/2016

First American Title

Santa Ana, CA
06/2017 → 08/2017

First American Title

Santa Ana, CA
09/2014 → 04/2018

Education

Irvine, CA
05/2018 → Present

Ubs Financial Services Inc.

Newport Beach, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-04-20
S63	Uniform Securities Agent State Law Examination	2019-03-02

S65 Uniform Investment Adviser Law Examination

2019-04-20
S63 Uniform Securities Agent State Law Examination

2019-03-02

View on SEC IAPD

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