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GLEN WILLIAM RINGWALL
CRD#: 1808359
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 17335 Golf Parkway
Suite 525
Brookfield, WI 53045
Registration History
199019952000200520102015202020252 FIRMS1997 - 2012 (15 years)2 FIRMS2012 - Present (12 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1994 - 1997 (2 years)BJ.E. LISS & COMPANY, INC. (CRD# 21950)1989 - 1994 (5 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)1991 - 1994 (2 years)BBLINDER, ROBINSON & CO., INC. (CRD# 5096)1988 - 1988 (<1 year)
Disclosure(s)
View By:
2/1/2012
Customer Dispute
Settled
1/17/2012
Customer Dispute
Settled
9/24/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 6/29/2017

B
New Hampshire 8/7/2023

B
Arizona 7/27/2012

B
New Jersey 7/15/2022

B
Arkansas 7/27/2021

B
New York 7/27/2012

B
California 7/27/2012

B
North Carolina 5/14/2021

B
Colorado 1/29/2021

B
Ohio 7/27/2012

B
Connecticut 12/24/2015

B
Oregon 7/29/2022

B
Delaware 8/10/2022

B
Pennsylvania 7/27/2012

B
Florida 7/27/2012

B
South Carolina 4/6/2022

B
Georgia 8/16/2017

B
Tennessee 6/28/2018

B
Illinois 7/27/2012

B
Texas 7/27/2012

B
Indiana 3/31/2017

IA
Texas 7/27/2012

B
Maryland 7/19/2022

B
Utah 8/10/2017

B
Massachusetts 10/23/2017

B
Vermont 8/20/2015

B
Michigan 7/27/2012

B
Virginia 10/15/2019

B
Minnesota 7/27/2012

B
Washington 2/15/2019

B
Nebraska 8/1/2022

B
Wisconsin 7/27/2012

B
Nevada 8/16/2022

IA
Wisconsin 7/27/2012

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)
17335 Golf Parkway Suite 525, Brookfield, WI 53045
Muskego, WI
Registered with this firm since 7/27/2012

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
17335 Golf Parkway Suite 525, Brookfield, WI 53045
Muskego, WI
Registered with this firm since 7/27/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/17/1997 - 08/06/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAUKESHA, WI
B
01/17/1997 - 08/06/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAUKESHA, WI
B
05/17/1994 - 01/27/1997 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
01/05/1989 - 07/24/1994 J.E. LISS & COMPANY, INC. (CRD#:21950)
FINRA expelled the firm on 12/19/2002
MILWAUKEE, WI
B
10/22/1991 - 05/23/1994 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
06/21/1988 - 11/30/1988 BLINDER, ROBINSON & CO., INC. (CRD#:5096)
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Broker
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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.