Mark Jeffrey Specker

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-08-04
MN	RA	APPROVED	2013-11-19
TX	RA	APPROVED_RES	2012-06-28

CA RA
APPROVED

Since 2022-08-04
MN RA
APPROVED

Since 2013-11-19
TX RA
APPROVED_RES

Since 2012-06-28

Branch Locations

681 East Lake Street Suite 354, Wayzata, MN 55391 • United States

80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Minneapolis	MN	03/2012	Present

03/2012 → Present

Ubs Financial Services Inc

Minneapolis, MN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-04-18

S66 Uniform Combined State Law Examination

2012-04-18

View on SEC IAPD

Employer firm

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Nearby Firms

Nearby Investors

Nearby Offices

Reviews