Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Daddario | 2622932 | 3 | 04/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hans Klingbeil | 2972025 | 1 | 08/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karl Emil Keirstead | 2526412 | 2 | 09/13/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |