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Samuel Von Duhn

Ubs Financial Services Inc.

Cleveland, 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 2026-02-23
  • OH RA
    APPROVED
    Since 2026-02-23

Branch Locations

600 Superior Ave E. - 27Th Floor, Cleveland, OH 44114 • 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
Interlake Steamship Company Middleburg Heights OH 05/2023 08/2023
Full Time Education Bay Village OH 03/2014 05/2023
Charles Schwab & Co., Inc. Indianapolis IN 06/2024 08/2025
4 Guys And A Shovel Bay Village OH 04/2016 05/2023
Full Time Education Bay Village OH 08/2023 06/2024
Key Investment Services, Llc Brooklyn OH 08/2025 10/2025
Keybank Cleveland OH 08/2025 10/2025
Ubs Financial Services Inc. Cleveland OH 11/2025 Present
  • 05/2023 → 08/2023
    Interlake Steamship Company
    Middleburg Heights, OH
  • 03/2014 → 05/2023
    Full Time Education
    Bay Village, OH
  • 06/2024 → 08/2025
    Charles Schwab & Co., Inc.
    Indianapolis, IN
  • 04/2016 → 05/2023
    4 Guys And A Shovel
    Bay Village, OH
  • 08/2023 → 06/2024
    Full Time Education
    Bay Village, OH
  • 08/2025 → 10/2025
    Key Investment Services, Llc
    Brooklyn, OH
  • 08/2025 → 10/2025
    Keybank
    Cleveland, OH
  • 11/2025 → Present
    Ubs Financial Services Inc.
    Cleveland, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-02-20
S63 Uniform Securities Agent State Law Examination 2024-10-24
  • S65 Uniform Investment Adviser Law Examination
    2026-02-20
  • S63 Uniform Securities Agent State Law Examination
    2024-10-24
Other Names
  • Sam Von Duhn

View on SEC IAPD

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Other Offices

FIRST FIDUCIARY INVESTMENT COUNSEL INC · CLEVELAND, OH
INDEPENDENCE WEALTH ADVISORS, LLC · INDEPENDENCE, OH
VOYA FINANCIAL ADVISORS, INC. · INDEPENDENCE, OH
EAGLE STRATEGIES LLC · Independence, OH
W&S BROKERAGE SERVICES, INC. · INDEPENDENCE, OH
M HOLDINGS SECURITIES, INC. · Cleveland, OH
AMERIPRISE FINANCIAL SERVICES, LLC · Independence, OH
FIRST FIDUCIARY INVESTMENT COUNSEL INC · CLEVELAND, OH

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