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Alexis Chick

Ubs Financial Services Inc.

Denver, CO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-07-03
  • CO RA
    APPROVED
    Since 2025-07-03

Branch Locations

4600 S. Ulster Street -Suite 700 Metro Point One, Denver, CO 80237 • 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
Erin Kopal Denver CO 09/2023 04/2025
Texas Roadhouse Denver CO 12/2022 05/2023
Smitty's Garage Burgers & Beer Rogers AR 05/2022 07/2022
Big Whiskey's American Restaurant And Bar Fayetteville AR 09/2020 05/2022
University Of Arkansas Fayetteville AR 08/2018 12/2021
Big Whiskey's American Restaurant And Bar Ozark MO 05/2016 07/2018
Hiwan Golf Club Evergreen CO 08/2022 12/2022
Hiwan Golf Club Evergreen CO 05/2023 09/2023
Northwestern Mutual Investment Services Llc Denver CO 09/2024 04/2025
Ubs Financial Services Denver CO 04/2025 Present
  • 09/2023 → 04/2025
    Erin Kopal
    Denver, CO
  • 12/2022 → 05/2023
    Texas Roadhouse
    Denver, CO
  • 05/2022 → 07/2022
    Smitty's Garage Burgers & Beer
    Rogers, AR
  • 09/2020 → 05/2022
    Big Whiskey's American Restaurant And Bar
    Fayetteville, AR
  • 08/2018 → 12/2021
    University Of Arkansas
    Fayetteville, AR
  • 05/2016 → 07/2018
    Big Whiskey's American Restaurant And Bar
    Ozark, MO
  • 08/2022 → 12/2022
    Hiwan Golf Club
    Evergreen, CO
  • 05/2023 → 09/2023
    Hiwan Golf Club
    Evergreen, CO
  • 09/2024 → 04/2025
    Northwestern Mutual Investment Services Llc
    Denver, CO
  • 04/2025 → Present
    Ubs Financial Services
    Denver, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-07-03
S63 Uniform Securities Agent State Law Examination 2024-11-15
  • S65 Uniform Investment Adviser Law Examination
    2025-07-03
  • S63 Uniform Securities Agent State Law Examination
    2024-11-15

View on SEC IAPD

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Nicholas Dean Phillips
Andrea Saenz
STEVEN SEARES MURRAY
ANGELA LEACH PIZZICHINI
TANISHA MARIE SIMON
BRET ALLEN ROBERTS
NICHOLAS MICHAEL YIP

Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

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