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Kenneth Robert Powers

Ubs Financial Services Inc.

Palm Springs, CA

Seattle, WA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-02-21
OK RA APPROVED 2004-03-03
TX RA APPROVED_RES 2003-07-08
WA RA APPROVED 1996-01-23
  • CA RA
    APPROVED
    Since 2025-02-21
  • OK RA
    APPROVED
    Since 2004-03-03
  • TX RA
    APPROVED_RES
    Since 2003-07-08
  • WA RA
    APPROVED
    Since 1996-01-23

Branch Locations

Palm Springs, CA • United States

925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. Seattle WA 01/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-02-24
S63 Uniform Securities Agent State Law Examination 1985-10-09
  • S65 Uniform Investment Adviser Law Examination
    1992-02-24
  • S63 Uniform Securities Agent State Law Examination
    1985-10-09

View on SEC IAPD

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