Individual Firm
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IRA KARL RINER
KARL IRA RINER
CRD#: 1126801
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 4622 Pennsylvania Avenue
8th Floor
Kansas City, MO 64112
8th Floor
Kansas City, MO 64112
View By:
9/6/2011
Customer Dispute
Settled
State Registrations
B
Arizona 4/28/2016
B
North Carolina 2/5/2016
B
Colorado 3/26/2015
B
Ohio 10/23/2024
B
Connecticut 5/1/2017
B
Pennsylvania 4/10/2024
B
Florida 3/26/2015
B
South Carolina 3/26/2015
B
Georgia 7/18/2024
IA
South Carolina 3/26/2015
B
Kentucky 3/26/2015
B
Texas 4/1/2016
B
Missouri 9/30/2024
IA
Texas 4/11/2016
B
New York 3/26/2015
B
Vermont 3/23/2023
SRO Registrations
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/26/2015
B
Registered with this firm since 3/26/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/05/2008 - 04/20/2015 | WILLIAMSVILLE, NY | |
B | 08/04/2008 - 04/20/2015 | WILLIAMSVILLE, NY | |
B | 01/01/2008 - 08/05/2008 | WILLIAMSVILLE, NY | |
B | 11/23/1998 - 01/03/2008 | WILLIAMSVILLE, NY | |
B | 07/27/1983 - 11/30/1998 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.