Individual Firm
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JOHN RABEN
JOHN HEWITT RABEN II, JOHN HEWITT III RABEN
CRD#: 1492334
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 3711 JOHN F. KENNEDY PARKWAY
STE 430
FORT COLLINS, CO 80525
STE 430
FORT COLLINS, CO 80525
View By:
3/1/1999
Customer Dispute
Closed-No Action
State Registrations
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Arizona 11/29/2002
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Nebraska 5/22/2003
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California 11/29/2002
B
New Jersey 1/13/2021
B
Colorado 11/29/2002
B
New Mexico 11/29/2002
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Colorado 11/29/2002
B
New York 9/11/2017
B
Delaware 5/6/2021
B
North Carolina 1/22/2014
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District of Columbia 11/29/2002
B
Ohio 12/9/2024
B
Florida 11/29/2002
B
Oregon 5/15/2020
B
Georgia 11/29/2002
B
Pennsylvania 11/29/2002
B
Hawaii 2/4/2003
B
South Carolina 4/10/2017
B
Illinois 11/28/2007
B
South Dakota 11/29/2002
B
Iowa 11/9/2023
B
Texas 11/29/2002
B
Kansas 5/14/2014
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Texas 11/29/2002
B
Maryland 12/4/2002
B
Utah 4/30/2003
B
Massachusetts 7/10/2024
B
Vermont 5/6/2021
B
Michigan 5/21/2003
B
Virginia 11/29/2002
B
Minnesota 11/29/2002
B
Washington 9/2/2015
B
Missouri 11/8/2021
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Wyoming 11/29/2002
SRO Registrations
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B
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B
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IA
Registered with this firm since 11/29/2002
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Registered with this firm since 11/29/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/1994 - 12/02/2002 | ENGLEWOOD, CO | |
B | 01/06/1987 - 12/02/2002 | NEW YORK, NY | |
B | 04/25/1986 - 12/09/1986 |
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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.