Individual Firm
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SHANNON NICHOLE INGRAHAM
S INGRAHAM, SHANNON N OLSON, SHANNON NICHOLE OLSON
CRD#: 1933448
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
0
Disclosures
30
Years of Experience
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State Registrations
B
Colorado 7/16/2012
IA
Colorado 1/9/2013
SRO Registrations
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B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 1/9/2013
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Registered with this firm since 7/16/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/27/2007 - 07/12/2012 | FORT COLLINS, CO | |
B | 08/24/2007 - 09/04/2007 | LAGUNA BEACH, CA | |
B | 09/29/2000 - 06/08/2005 | LOS ANGELES, CA | |
B | 09/25/1995 - 09/22/2000 | NEWPORT BEACH, CA | |
B | 11/30/1994 - 07/20/1995 | HOUSTON, TX | |
B | 05/13/1992 - 11/01/1994 | NEWPORT BEACH, CA |
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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.
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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.