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Deborah Miller Swenson

Ubs Financial Services Inc.

Winter Haven, FL

Auburndale, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2012-02-17
TX RA APPROVED 2012-02-16
  • FL RA
    APPROVED
    Since 2012-02-17
  • TX RA
    APPROVED
    Since 2012-02-16

Branch Locations

295 1St Street South, Winter Haven, FL 33880 • United States

Auburndale, FL • 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
Ubs Financial Services Inc Winter Haven FL 02/2012 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-19
S63 Uniform Securities Agent State Law Examination 1985-12-09
  • S65 Uniform Investment Adviser Law Examination
    2005-05-19
  • S63 Uniform Securities Agent State Law Examination
    1985-12-09
Other Names
  • Debbie Swenson

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · WINTER HAVEN, FL
TUCKER ASSET MANAGEMENT LLC · Winter Haven, FL
WELLS FARGO CLEARING SERVICES, LLC · WINTER HAVEN, FL
COMMONWEALTH FINANCIAL NETWORK · WINTER HAVEN, FL
PFS INVESTMENTS INC. · WINTER HAVEN, FL
FOUNDATIONS INVESTMENT ADVISORS LLC · Winter Haven, FL
LPL FINANCIAL LLC · WINTER HAVEN, FL
EDWARD JONES · WINTER HAVEN, FL

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