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Detailed Report
CHERYL VAN LIERE
CHERYL ANN HESS
CRD#: 1803931
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 8500 NORMANDALE LAKE BLVD.
BLOOMINGTON, MN 55437
Registration History
199019952000200520102015202020252 FIRMS2006 - Present (18 years)BPIPER JAFFRAY & CO. (CRD# 665)1990 - 2006 (16 years)BDAIN BOSWORTH INCORPORATED (CRD# 7600)1990 - 1990 (<1 year)IAPIPER JAFFRAY & CO. (CRD# 665)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Arizona 8/12/2006
IA
Minnesota 12/9/2013
B
Florida 8/12/2006
IA
Texas 8/12/2006
B
Minnesota 8/12/2006
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
Registered with this firm since 8/12/2006
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
8500 NORMANDALE LAKE BLVD., BLOOMINGTON, MN 55437
Registered with this firm since 8/12/2006
Previous Registration(s)
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IA
 02/08/2006 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) BLOOMINGTON, MN
B
 07/11/1990 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) BLOOMINGTON, MN
B
 04/17/1990 - 07/16/1990 DAIN BOSWORTH INCORPORATED (CRD#:7600)
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.