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Dave A Horan

Ubs Financial Services Inc.

Bloomington, MN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
TX RA APPROVED_RES 2006-09-12
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED_RES
    Since 2006-09-12

Branch Locations

8500 Normandale Lake Blvd., Bloomington, MN 55437 • 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. Bloomington MN 08/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-27
S63 Uniform Securities Agent State Law Examination 1986-03-19
  • S65 Uniform Investment Adviser Law Examination
    1998-03-27
  • S63 Uniform Securities Agent State Law Examination
    1986-03-19
Designations
Other Names
  • Dave Horan
  • David Horan
  • David Alan Horan

View on SEC IAPD

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Other Offices

PETROS FAMILY WEALTH, LLC · BLOOMINGTON, MN
JNBA FINANCIAL ADVISORS, LLC · BLOOMINGTON, MN
DEVENIR INVESTMENT ADVISORS, LLC · BLOOMINGTON, MN
REDHAWK WEALTH ADVISORS, INC. · MINNEAPOLIS, MN
WELLS FARGO CLEARING SERVICES, LLC · BLOOMINGTON, MN
ELEVATION POINT WEALTH PARTNERS, LLC · Minneapolis, MN
OSAIC WEALTH, INC. · BLOOMINGTON, MN
LPL FINANCIAL LLC · BLOOMINGTON, MN

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