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Detailed Report
JOHN RABEN
JOHN HEWITT RABEN II, JOHN HEWITT III RABEN
CRD#: 1492334
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3711 JOHN F. KENNEDY PARKWAY
STE 430
FORT COLLINS, CO 80525
Registration History
199019952000200520102015202020252 FIRMS2002 - Present (22 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 2002 (15 years)BTHE STUART-JAMES COMPANY, INC. (CRD# 11691)1986 - 1986 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1994 - 2002 (8 years)
Disclosure(s)
View By:
3/1/1999
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 11/29/2002
B
Nebraska 5/22/2003
B
California 11/29/2002
B
New Jersey 1/13/2021
B
Colorado 11/29/2002
B
New Mexico 11/29/2002
IA
Colorado 11/29/2002
B
New York 9/11/2017
B
Delaware 5/6/2021
B
North Carolina 1/22/2014
B
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
IA
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
B
Wyoming 11/29/2002

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)
3711 JOHN F. KENNEDY PARKWAY STE 430, FORT COLLINS, CO 80525
Registered with this firm since 11/29/2002
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3711 JOHN F. KENNEDY PARKWAY STE 430, FORT COLLINS, CO 80525
Registered with this firm since 11/29/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/06/1994 - 12/02/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) ENGLEWOOD, CO
B
 01/06/1987 - 12/02/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 04/25/1986 - 12/09/1986 THE STUART-JAMES COMPANY, INC. (CRD#:11691)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.