Rory Daniel Lindquist

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2011 → 06/2024
  Morgan Stanley Smith Barney
  Greeley, CO
• 01/2015 → 06/2024
  Morgan Stanley Private Bank, National Association
  New York, NY
• 06/2024 → Present
  Ubs Financial Services Inc.
  Boulder, CO
• 01/2015 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2011-05-16 → 2024-06-13
  Morgan Stanley
  Boulder, CO
• 2004-09-03 → 2011-05-18
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Boulder, CO
  Boulder, CO
• 2002-05-13 → 2004-09-15
  Robert W. Baird & Co. Incorporated
  Boulder, CO
• 2001-10-05 → 2002-05-22
  Strong Capital Management Inc
  Menomonee Falls, WI

Other Businesses

1.B&L Railroad, LLC; Investment related: Yes; Longmont CO; Rental property; owner (proprietor, partner, officer, director, employee, trustee, agent); Oct 2018; During business hours: 0; After business hours: 1;

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-09-25
• S63 Uniform Securities Agent State Law Examination
  1999-07-22

Designations

• Certified Financial Planner