• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CHARLES JOSEPH GITS
CRD#: 1144363
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8500 NORMANDALE LAKE BLVD.
BLOOMINGTON, MN 55437
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - Present (17 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - Present (18 years)BPIPER JAFFRAY & CO. (CRD# 665)1983 - 2006 (23 years)
Disclosure(s)
View By:
3/25/2004
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 8/12/2006

B
New Hampshire 11/3/2022

B
Arkansas 8/12/2006

B
New Jersey 1/10/2022

B
California 8/12/2006

B
New Mexico 1/10/2022

B
Colorado 12/5/2017

B
New York 1/10/2022

B
Florida 8/12/2006

B
North Carolina 8/12/2006

B
Georgia 12/2/2021

B
North Dakota 8/12/2006

B
Idaho 7/10/2017

B
Ohio 1/10/2022

B
Illinois 1/5/2022

B
Oregon 10/30/2015

B
Iowa 1/5/2022

B
Pennsylvania 3/30/2015

B
Kentucky 1/10/2022

B
South Carolina 8/12/2006

B
Maryland 3/31/2010

B
South Dakota 8/12/2006

B
Massachusetts 1/5/2022

B
Tennessee 2/3/2021

B
Michigan 8/12/2006

IA
Texas 8/20/2007

B
Minnesota 8/12/2006

B
Texas 3/21/2017

IA
Minnesota 12/9/2013

B
Virginia 1/4/2012

B
Missouri 9/3/2014

B
Washington 1/3/2008

B
Nevada 1/4/2019

B
Wisconsin 8/12/2006

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8500 NORMANDALE LAKE BLVD., BLOOMINGTON, MN 55437
Oro Valley, AZ
Registered with this firm since 8/20/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8500 NORMANDALE LAKE BLVD., BLOOMINGTON, MN 55437
Oro Valley, AZ
Registered with this firm since 8/12/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/22/1983 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) BLOOMINGTON, MN
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.