Randall Arthur Berns

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-10-20
MN	RA	APPROVED	2014-02-03

TX RA
APPROVED_RES

Since 2016-10-20
MN RA
APPROVED

Since 2014-02-03

Branch Locations

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

South Haven, MN • 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
Piper Jaffray Inc.	St Cloud	MN	04/1986	Present
Ubs Financial Services Inc.	St Cloud	MN	08/2006	Present

04/1986 → Present

Piper Jaffray Inc.

St Cloud, MN
08/2006 → Present

Ubs Financial Services Inc.

St Cloud, MN

Other Businesses

Annandale Lion Club United States / 34 Oak Ave N MN / www.annandalelionsclub.org/ Charity / Charity / Member of Board of directors / Start Date 7/1/2019 No No /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-04-03
S63	Uniform Securities Agent State Law Examination	1986-05-19

S65 Uniform Investment Adviser Law Examination

2006-04-03
S63 Uniform Securities Agent State Law Examination

1986-05-19

Other Names

Randall Arthur Berns

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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