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Karla Spearing

Ubs Financial Services Inc.

Indianapolis, IN

Indianapolis, IN

CRD 1734915

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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

AuthorityCategoryStatusDate
IN RA APPROVED 2006-03-21
  • IN RA
    APPROVED
    Since 2006-03-21

Branch Locations

8888 Keystone Crossing 10Th Floor, Indianapolis, IN 46240 • United States

8801 River Crossing Blvd 4Th Floor, Indianapolis, IN 46240 • 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 Indianapolis IN 09/2005 Present
  • 09/2005 → Present
    Ubs Financial Services
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-20
S63 Uniform Securities Agent State Law Examination 1988-03-02
  • S65 Uniform Investment Adviser Law Examination
    2006-03-20
  • S63 Uniform Securities Agent State Law Examination
    1988-03-02
Other Names
  • Karla Sue Engerer
  • Karla Sue Spearing

View on SEC IAPD

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