Best Investors Account Sign in

Seth H. Baliban

Ubs Financial Services Inc.

Louisville, KY

Winchester Center, CT

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-06-16
TX RA APPROVED_RES 2012-05-18
KY RA APPROVED 2007-10-10
  • CT RA
    APPROVED
    Since 2023-06-16
  • TX RA
    APPROVED_RES
    Since 2012-05-18
  • KY RA
    APPROVED
    Since 2007-10-10

Branch Locations

500 North Hurstbourne Suite 300, Louisville, KY 40222 • United States

Winchester Center, CT • 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 Louisville KY 10/2007 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-11
S63 Uniform Securities Agent State Law Examination 1986-08-11
  • S65 Uniform Investment Adviser Law Examination
    1992-06-11
  • S63 Uniform Securities Agent State Law Examination
    1986-08-11
Other Names
  • Seth Harris Baliban

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
MORGAN STANLEY
WAYCROSS GP, LLC
WAYCROSS PARTNERS, LLC
PNC WEALTH MANAGEMENT LLC
KESTRA ADVISORY SERVICES, LLC
LPL FINANCIAL LLC
LANIER ASSET MANAGEMENT, LLC

Other Investors

REBECCA ANN LOVAN
Donald R Dentinger
MAYNARD EDWIN HOPPER
DEONNA STARGEL COLVIN
James Earl Groves
WHITNEY B WOODFORD
Bruce Mckiernan White
WILLIAM JOHNATHAN HENDERSON

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · LOUISVILLE, KY
MORGAN STANLEY · Louisville, KY
WAYCROSS GP, LLC · LOUISVILLE, KY
WAYCROSS PARTNERS, LLC · LOUISVILLE, KY
PNC WEALTH MANAGEMENT LLC · Louisville, KY
KESTRA ADVISORY SERVICES, LLC · Louisville, KY
LPL FINANCIAL LLC · LOUISVILLE, KY
LPL FINANCIAL LLC · LOUISVILLE, KY

More in Louisville, KY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor