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CAROLINE DENISE BRODERSEN
CAROLINE D BRODERSEN, COROLINE DENISE BRODERSEN, CAROLINE DENISE BRODERSON
CRD#: 1296490
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 355 Santana Row
Suite 2050
SAN JOSE, CA 95128
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1984 - Present (40 years)
License(s)

State Registrations

B
Alaska 10/6/2008

B
Michigan 1/3/2008

B
Arizona 6/24/2024

B
Missouri 12/3/2024

B
Arkansas 11/1/2024

B
Montana 1/27/2025

B
California 8/14/1984

B
Nevada 6/13/2016

IA
California 7/8/1997

B
New Jersey 12/11/2013

B
Colorado 9/7/2018

B
New York 7/12/2024

B
Connecticut 5/6/2024

B
Oklahoma 12/7/2017

B
Delaware 7/14/2022

B
Oregon 9/8/1999

B
Florida 8/26/2021

B
Pennsylvania 1/11/2024

B
Georgia 3/30/2021

B
South Carolina 2/8/2024

B
Hawaii 4/9/2003

B
Texas 7/16/1996

B
Idaho 7/15/2020

IA
Texas 1/30/2008

B
Illinois 10/1/2009

B
Virginia 2/3/2025

B
Kentucky 11/6/2024

B
Washington 5/22/1991

B
Louisiana 5/28/1991

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

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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)
355 Santana Row Suite 2050, SAN JOSE, CA 95128
Sunnyvale, CA
Registered with this firm since 7/8/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
355 Santana Row Suite 2050, SAN JOSE, CA 95128
Sunnyvale, CA
Registered with this firm since 8/21/1984

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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.