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Komalpreet Kaur

Ubs Financial Services Inc.

Indianapolis, IN

Oakbrook Terrace, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-04-10
IL RA APPROVED 2019-10-29
  • IN RA
    APPROVED
    Since 2025-04-10
  • IL RA
    APPROVED
    Since 2019-10-29

Branch Locations

8801 River Crossing Blvd 4Th Floor, Indianapolis, IN 46240 • United States

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows IL 06/2017 11/2017
Bank Of America Bolingbrook IL 01/2016 06/2017
Fidelity Brokerage Services Llc Naperville IL 06/2018 09/2019
Unemployed Bolingbrook IL 12/2017 05/2018
Ubs Financial Services Inc. Naperville IL 10/2019 Present
  • 06/2017 → 11/2017
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Rolling Meadows, IL
  • 01/2016 → 06/2017
    Bank Of America
    Bolingbrook, IL
  • 06/2018 → 09/2019
    Fidelity Brokerage Services Llc
    Naperville, IL
  • 12/2017 → 05/2018
    Unemployed
    Bolingbrook, IL
  • 10/2019 → Present
    Ubs Financial Services Inc.
    Naperville, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-19
S63 Uniform Securities Agent State Law Examination 2018-06-26
  • S66 Uniform Combined State Law Examination
    2019-07-19
  • S63 Uniform Securities Agent State Law Examination
    2018-06-26
Other Names
  • Komalpreet Kaur
  • Komal Kaur

View on SEC IAPD

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Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
SANCTUARY ADVISORS, LLC · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

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