Lynda Anne Rettig

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2011-10-27

NC RA
APPROVED

Since 2011-10-27

Branch Locations

Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States

13024 Ballantyne Corporate Plaza Suite 650, Charlotte, NC 28277 • United States

6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • United States

Charlotte, NC • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Charlotte	NC	02/1998	Present

02/1998 → Present

Ubs Financial Services Inc.

Charlotte, NC

Other Businesses

FINRA; One Liberty Plaza 165 Broadway, New York, New York 10006; Non-Public Arbitrator; Once I complete the mandatory training I will be added to FINRA's arbitrator roster as a Non-Public Arbitrator; Not investment-related; Start date: 12/6/2017

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-10-26
S63	Uniform Securities Agent State Law Examination	1987-11-16

S65 Uniform Investment Adviser Law Examination

2011-10-26
S63 Uniform Securities Agent State Law Examination

1987-11-16

View on SEC IAPD